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Compliance Monitoring Officer

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Investec

10d ago

  • Job
    Full-time
    Mid & Senior Level
  • Legal
    Banking & Finance
  • London

AI generated summary

  • You must demonstrate integrity, possess regulatory knowledge (FCA, PRA), have financial services experience, strong analytical skills, and excellent communication abilities to manage multiple priorities.
  • You will execute a risk-based Compliance Monitoring Plan, identify regulatory weaknesses, develop corrective measures, and collaborate with teams to ensure effective compliance processes.

Requirements

  • Integrity: Act with integrity at all times and embrace the philosophy of treating customers fairly.
  • Regulatory Knowledge: Strong understanding of relevant regulations, including FCA, PRA, and Listings rules.
  • Experience: Track record in the Financial Services Industry, preferably in compliance monitoring or internal audit roles.
  • Analytical Skills: Ability to understand deal structures and compliance processes.
  • Strong interpersonal and communication skills to build effective partnerships across teams.
  • Ability to manage multiple reviews and priorities simultaneously.

Responsibilities

  • Execute a risk-based Compliance Monitoring Plan through conduct risk-based reviews.
  • Identify regulatory control weaknesses and work with teams to develop corrective measures.
  • Ensure compliance processes are in place to manage regulatory risks within business units.
  • Collaborate with the IBP Compliance Team to keep the monitoring programme reflective of regulatory and industry themes.

FAQs

What is the primary function of a Compliance Monitoring Officer at Investec?

The primary function of a Compliance Monitoring Officer at Investec is to execute the Compliance Monitoring Plan, conduct risk-based reviews, identify regulatory control weaknesses, and ensure compliance processes align with regulatory requirements and Group Standards.

What qualifications are required for the Compliance Monitoring Officer role?

The role requires integrity, a strong understanding of relevant regulations (including FCA, PRA, and Listings rules), a track record in the Financial Services Industry, and analytical skills to understand deal structures and compliance processes.

How often are compliance reviews conducted?

Compliance reviews are conducted on a risk-based basis as outlined in the Compliance Monitoring Plan.

Is there a focus on team collaboration in this position?

Yes, collaboration with various teams, including the IBP Compliance Team, is essential for developing effective controls and ensuring compliance processes reflect regulatory and industry themes.

What is the working structure in terms of office attendance?

The working structure is hybrid, consisting of four days in the office and one day remote.

What wellbeing benefits does Investec offer its employees?

Investec offers several wellbeing benefits, including a Wellbeing Subsidy, Corporate Gym Membership, Virtual GP, and the Peppy Health App, among others.

Are there any monetary benefits associated with this role?

Yes, the role offers a non-contributory pension and the potential for a discretionary bonus.

How does Investec support diversity and inclusion?

Investec fosters a culture of belonging and inclusion, creating an environment where everyone is encouraged to be themselves, which enhances innovation, creativity, and business performance.

Does Investec assist candidates with disabilities in the recruitment process?

Yes, Investec provides assistive technology through the Recite Me tool on their Careers pages and encourages candidates with disabilities or neurodivergent needs to reach out to the Careers team for further assistance.

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Finance
Industry
10,001+
Employees
1974
Founded Year

Mission & Purpose

Investec is a company that offers a wide range of financial services, including banking, asset management, and investment solutions. Their ultimate goal is to provide comprehensive financial products and services to individuals, businesses, and institutions, helping them achieve their financial goals and aspirations. Investec's purpose revolves around delivering expert financial guidance, innovative solutions, and personalized support to their clients, aiming to foster financial growth, stability, and prosperity. Through their diverse offerings, Investec seeks to empower clients in managing their finances, making informed investment decisions, and navigating the complexities of the financial landscape.

Benefits

  • Be healthy

    Being healthy means taking care of yourself, your body and your lifestyle holistically. Eating healthily, keeping active, sleeping well and doing what makes you feel your best. You will have access to excellent healthcare choices, including private medical insurance, 24-hour GP access, onsite physiotherapists (in London), wellbeing subsidy, dental plans, income protection and regular eye tests.

  • Be you

    Being you means bringing your whole self to work. Balancing and integrating your personal, family, financial and work life to create greater harmony and connection. To ensure you feel valued and rewarded, we will support you with an attractive salary and bonus scheme. We also offer a generous pension scheme, and independent free pension and mortgage advice. Should the worst happen, we also offer a death-in-service benefit. Also, to support you and your loved ones through the many life stages, we offer generous parental and dependant’s leave policies, and a series of events and activities to help you navigate life changes. Annual leave starts at 25 days and increases the longer you stay with us. We also offer part-time and flexible working options when possible.

  • Be present

    Being present means taking care of your mental wellbeing, so you feel empowered to realise your potential and able to cope with the stresses of life. We have onsite and telephone-based clinical psychologists, as well as a professional and a confidential 24/7 Employee Assistance Programme that is always there to help.

  • Be connected

    Being connected means taking care of and feeling connected to your social wellbeing. It’s a sense of belonging, purpose and relationship in the workplace, your local community and your environment. If you’re passionate about contributing to the community, you’re in the right place. Here you can take up to two paid days a year to work with our community partners. We also arrange fun and meaningful volunteering opportunities throughout the year. You can also join one of the many networks at Investec, such as the award-winning group of environmental champions, Team Green, and our diversity and inclusion networks - Gender Balance, LGBTQ+, Multicultural and YoungMinds. We also recognise the commitment and loyalty of our colleagues with referral schemes and long-service awards.