Compliance Advisor

1 week ago

Reading, 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.

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.

**Team description**

AFG Compliance identify, manage, and advise the AFG regulated entities on the Compliance and Regulatory Risk that arises as a result of business conducted by AFG. We provide support on a day to day basis and ensure adherence with the compliance processes, procedures and policies within AFG.

**Description of role and key responsibilities**
- To provide compliance advice to support the business unit on a day to day basis
- Ensuring that AFG's systems, procedures and documentation comply with current legislation and FCA requirements
- Compliance support for identifying and implementing regulatory developments and business developments triggering regulatory/policy requirements
- Leading by example in all matters relating to Conduct Risk
- Reviewing and providing advice on AFG's processes and documentation to ensure that Conduct Risk and TCF are central to all AFG businesses
- Ensuring that the Internal Audit action points are addressed across AFG
- Develop and maintain expert knowledge of data protection requirements and how they impact AFG
- Establish the framework for compliance and update as necessary
- Assisting with the delivery of regulatory training across AFG
- Provide regulatory advice and guidance
- Collection and reporting of effective MI to senior management;
- Investigate regulatory breaches/events and advise on remediation
- Attending governance meetings and acting as secretary where required
- Assist with projects where required by the AFG Head of Compliance
- Support and undertake a programme of compliance monitoring as required.
- Any other adhoc requests as required

**Core skills and knowledge**
- To act with integrity at all times and embrace the philosophy of treating our customers fairly (compulsory)
- Regulatory Knowledge as applicable to role (compulsory)
- Previous experience in working for an FCA regulated firm
- Working knowledge of regulatory sourcebooks
- Ability to navigate and interpret regulatory requirements and advise on them authoritatively.
- Previous experience in a review oriented position, e.g. audit, quality control, compliance monitoring etc.
- Self-starter and team player
- Happy to work with different and sometimes conflicting stakeholders
- Excellent written and oral communication skills.
- Eye for detail, balanced with commercial pragmatism and the ability to find creative solutions

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