Compliance Adviser

2 weeks ago

London, United Kingdom Investec Full time

Investec is a distinctive Specialist Bank serving clients principally in the UK and South Africa. Our culture gives us our edge: we work hard to find colleagues who'll think out of the ordinary and we put them in environments where they'll flourish. We combine a flat structure with a focus on internal mobility. If you can bring an entrepreneurial spirit and a desire to learn and collaborate to your work, this could be the boost your career deserves.
- Job Description

**What does the team do?**

**The Retail Compliance team provides advice across the UK bank covering everything that pertains to the products & services we sell, operations and distribution channels (e.g. telephone, digital). Our remit includes anything where there are touch points with consumers as end-users. The advice we provide concerns the regulatory and conduct risks associated with the business. We draw on our knowledge and experience of all relevant UK regulations that come down to us from our regulators (predominantly the FCA) to support the business whilst helping to ensure our clients are treated fairly and achieve good outcomes.**

The post-holder will be an SME for the retail bank delivering compliance advice on payments and transactional banking. The role covers product, operations and channels (e.g. telephone, digital) & requires the post-holder to advise a variety of teams across those areas on the regulatory and conduct risks associated with their activities.

**What are the key responsibilities?**
- Provide accurate, timely and practical compliance advice drawing on relevant conduct regulations (e.g. from the FCA), with an advisory scope that includes the retail client segments in so far as their payment products are concerned;
- Particular focus on current accounts (including a packaged bank account) and other accounts that have transactional features. This includes advising on the proposition, fair value and the treatment of clients holding these accounts;
- Advise the business on payment services such as online banking channels and the third-party provider portal, including compliance with technical requirements, such as payment processing times, performance & availability;
- Ensure issues of potential regulatory risk (including potential regulatory breaches) are identified and managed (and/or escalated as required) promptly and appropriately, having due regard to the need to treat clients fairly and manage IBP's regulatory and conduct risks;
- Represent Compliance at internal governance forums;
- Participate in the business' regular risk assessments and incident management processes;
- Work with business partners to collate and sense check data and information required to meet FCA reporting obligations & make submissions;
- Identify, track and assess regulatory developments to understand the impact on the business and disseminate practical summaries to stakeholder partners covering the relevance to them and any action they need to take;
- Assist in the development of internal policies and procedures as necessary and help maintain Compliance-owned policies and procedures;
- Support the creation and delivery of relevant regulatory training;
- Represent the bank at relevant industry meetings and groups (e.g. UK Finance);
- Support the wider Compliance function in discharging its role.

**What core skills and knowledge do we look for?**

Regulatory knowledge as applicable to role (compulsory)
- Act with integrity at all times (compulsory)
- Embrace the philosophy of treating our clients fairly & act to deliver good outcomes for retail clients (compulsory)
- Excellent verbal and written communication skills essential for communicating with a wide audience
- Exhibit a clear, reasoned & practical approach at all times
- Highly motivated with emphasis on attention to detail
- Strong organisational and analytical skills
- Problem solving mentality
- Ability to make & communicate clear and concise decisions
- Good record keeping

Knowledge and experience of advising on regulated overdrafts.

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.

We want our people to feel empowered to be themselves in an environment that supports them, enabling them to perform in “out of the ordinary” ways. Our culture places belonging and inclusion at its centre and our work environment is integral to this. If you require any adjustments to support you through the recruitment process, as well as supportive and flexible working arrangements to help you succeed with us, please let our recruitment team know.

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