Job description

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

Senior Manager – Regulatory Governance (4781)

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.

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!

Role: Compliance Senior Manager – Regulatory Governance 

Location: Agnostic (excluding London)

What does the team do?

The Regulatory Governance Team is part of Regulatory Assurance within the Compliance & Risk department. We partner with Compliance Advisory to provide support to Investment Management, Financial Planning, Wealth Planning and other key functional business areas in the capacity of second line of defence

The Compliance & Risk department comprises of: Compliance Advisory, Regulatory Assurance, Operational Risk, Data Protection, and Culture and Conduct. Financial Crime is a shared service with Investec Bank.

What does the role involve?

Reporting to the Head of Regulatory Assurance, this role will have the following 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 development 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 and creation of training material as required.
  • Management of the Compliance and Risk policy framework, partnering with key stakeholders to ensure the framework and ongoing review is maintained, including coordination of the Policy forum.
  • Involvement with team activities such as the Compliance and Risk Control Self-Assessment (RCSA), and internal or external audit data requests
  • Ad hoc work as required by the Head of Regulatory Assurance

What core skills and knowledge do we look for?

  • 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 format
  • Confident in ability to present, and to represent Compliance as required, at Committees and events
  • Proven track record in completing or overseeing the activities that the team are responsible for
  • Experience of coaching and people management desirable
  • Skilled in technological advancement of Compliance activities and able to affect change
  • Ability to multi-task and deal with a number of concurrent issues through effective delegation and oversight
  • Proficient at drafting and updating regulatory policies and procedures
  • Good stakeholder management skills, including the ability to negotiate, influence and challenge
  • Ability to interrogate data, MI and reports
  • Strong technical, analytical, problem solving skills, with good attention to detail

What other attributes would be helpful 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
  • A collaborative approach, along with the promotion of trust and integrity
  • To exhibit high energy, engagement and a focus on delivery
  • Self-motivated, looking to broaden business and industry knowledge
  • Empathetic and thoughtful leadership style, displaying strong emotional intelligence
  • Ability to work using 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
  • Good inter-personal skills, demonstrating confidence

What qualifications are required for the role?

  • Preferred qualifications – CISI Diploma in Investment Compliance or similar


Meet the recruiter

Charmaine Bannerman

Share this page
Share with linkedin
Share with facebook
Share with twitter
Share with email
Job Alerts
Create an alert subscription based on this Job


Private Medical Cover
Virtual GP
Gym Discounts
Psychologist Service
Annual Leave
Life Assurance