Job description

  • Location:
  • Department:
    IWI Compliance Team
  • Division:
    IWI Compliance
  • Employment Type:
    Full time
  • Salary:

Senior Compliance Manager (6529)

We're one of the UK's leading investment management companies, with responsibility for over £40 billion of client assets. We've worked closely with clients and their trusted advisers for many years and gained a unique understanding of the specific needs of our clients.

Investec Wealth & Investment seeks to deliver exceptional levels of customer service and has been trusted to meet the needs of private investors for almost 200 years. But our eyes are focused on your future.

Right now we're a team of over 1400 dedicated professionals located across 14 sites in the UK. We're looking to strengthen our team and need you to come on board and make a difference.

Embedded in our culture is a sense of belonging and inclusion. This creates an environment in which everyone is free to be themselves which helps to drive innovation, creativity and ultimately business performance. At Investec we want everyone to find it easy to be themselves, and to feel they belong. It's a responsibility we all share and is integral to our purpose and values as an organisation.

Research shows that some candidates can be reluctant to apply to a role unless they meet all the criteria. We pride ourselves on our entrepreneurial spirit here and welcome you to do the same – if the role excites you, please don't let our person specification hold you back. Get in touch!

Description of role and key  responsibilities:

• The management and development of team members to ensure effective delivery of tasks and the team's objectives

• Maintaining governance processes to track changes in the external regulatory landscape impacting IW&I through the inventory of laws and regulations

• Building and maintaining a regulatory inventory, focusing on incorporation into a GRC tool

• Communication of regulatory change through impact assessment and interaction with stakeholders including coordination of the Regulatory Development Forum

• Coordination, management and further establishment of the Compliance Risk Assessment in partnership with the Compliance Advisory team

• Partnering with the Compliance and Risk seniors and Learning & Development to maintain the annual mandatory regulatory training schedule, supporting its review with creation of training material as required

• Management of the Compliance and Risk policy framework including partnering with key stakeholders to ensure the policy framework and review is maintained

• Involvement with team activities such as the Compliance Risk and Control Self-Assessment (RCSA), and internal or external audit data requests

• Ad hoc work as required by the Head of Regulatory Assurance

Core skills and knowledge:

• Do you have experience of coaching and people management?

• Strong technical knowledge and understanding of the FCA requirements that are applicable to Wealth businesses.

• Understanding of the services provided by IW&I

• Ability to interpret rules and regulations and to clearly and succinctly articulate their impact in the context of the business environment in written and verbal formats

• Confident in the ability to present, and to represent Compliance as required, at Committees and events

• Proficient at drafting and updating regulatory policies and procedures

• Proven track record in completing or overseeing the activities that the team are responsible for

• Skilled in technological advancement of Compliance activities and able to implement change

• Ability to multi-task and deal with a number of concurrent issues through effective delegation and oversight

• Good stakeholder management skills, including the ability negotiate, influence and challenge

• Strong technical, analytical and problem solving skills, with good attention to detail

Any other attributes that would be helpful, but not essential for the role:

• Ability to engage in open dialogue, provide pragmatic solutions, dealing with conflict as required whilst maintaining good working partnerships with all areas of the business
• The ability to challenge, whilst leading teams and colleagues through change
• To exhibit high energy, engagement and a focus on delivery
• Are you a self-motivator and confident, looking to broaden business and industry knowledge?
• Empathetic and thoughtful leadership style, displaying strong emotional intelligence
• Do you have the ability to work on using your own initiative, with the confidence to listen and question matters where necessary?
• The ability to demonstrate courage, to promote and foster a moral culture and to inspire others


Close map
3 Hardman Street, Spinningfields, Manchester, United Kingdom, M3 3HF

Meet the recruiter

Jess Sheehan


We commit to ensure that everyone is fairly assessed during our recruitment process.

Let us know if you need any reasonable adjustments to complete your application.

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