Compliance Officer- Investment Management
Belfast, Edinburgh
2d ago

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.

What will my key responsibilities entail?

This is a role at Compliance Officer level working in an advisory capacity, with the two principal aspects of the role being the provision of advice and guidance to the Investment Management part of Investec Wealth & Investment's ( IW&I ) business and carrying out duties related to the firm's complaints process and the Compliance team's role in it.

Key responsibilities include :

  • Delivery of key Compliance processes including the provision of advice, complaints handling, and tasks related to IW&I's complaints process
  • Providing advice and guidance to the Investment Management business, and also into projects and initiatives, in a timely manner
  • Helping ensure that complaints and financial promotions are dealt with within required timescales (including handling and investigating complaints in accordance with regulatory requirements)
  • Assisting with the compilation of MI and the preparation and submission of regulatory returns in relation to complaints
  • Providing assistance with the review and approval of financial promotions
  • Liaising with the Regulatory Change team to help analyse the impact on IW&I's business from changes in the regulatory environment
  • Building and maintaining constructive relationships with stakeholders, managing conflict as it arises and not letting it detract from the importance of these relationships towards achieving our shared goals (for client outcomes and the firm)
  • Ensuring risks / issues are escalated to the Senior Compliance Manager
  • Partnering with other teams within Compliance and the Compliance & Risk department to help promote a culture of compliance with policies, procedures and regulatory requirements across the firm
  • Attending committees, working groups and project meetings as relevant
  • Assisting with providing timely and relevant reporting to the Head of Compliance & Risk, stakeholders and committees as required
  • Contributing to the development and maintenance of the firm's policy framework, including assisting with the creation, updating and roll-out of policies and procedures as required
  • Completing other tasks as required by the Senior Compliance Manager
  • What core skills and knowledge do I need?

  • A well-developed understanding of the regulations applicable to Wealth / Investment Management businesses
  • An understanding of the FCA rules and timeframes relating to complaints would be advantageous
  • The ability to interpret rules and regulations and to clearly and succinctly articulate their application in the context of the firm's business
  • Ability to multi-task and deal with a number of concurrent issues
  • Confident in own ability to present and represent Compliance as required
  • Ability to write reports and summarise issues to a level commensurate for management consumption
  • Good stakeholder management skills, including the ability to negotiate and influence
  • Ability to interrogate data and MI to evaluate where risks or issues may occur to inform the proactive advice aspect of the team's work
  • Strong technical, analytical, problem-solving skills, good attention to detail
  • Any other attributes that would be helpful, but not essential for the role?

  • The ability to engage in open dialogue and provide pragmatic solutions, dealing with conflict as required whilst maintaining good working partnerships with all areas of the business
  • Willingness to develop self and help enhance the team's processes
  • To speak with clarity, purpose and confidence
  • To exhibit high energy, engagement and a focus on delivery
  • Strong inter-personal, negotiation and stakeholder management skills
  • Collaborates effectively, along with the promotion of trust and integrity
  • Good organisational and time management skills
  • Self-motivated, looking to broaden business and industry knowledge
  • Ability to work using own initiative, with the confidence to listen and question matters where necessary
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