Description of the role

The Compliance Control Room plays a critical role in protecting the integrity of the Investec Group by managing conflicts of interest, information handling, insider information and and market abuse risks across our banking and trading activities.

As a Compliance Control Room Officer, you will serve as a trusted advisor to the business, providing specialist guidance on transaction conflicts, information barriers and market conduct matters. You will partner with a broad range of stakeholders across Investment Banking, Financial Markets, Compliance, Legal, Risk and Technology to deliver practical, risk-based solutions in a dynamic environment.

Key Responsibilities

•    Lead conflict assessments across a range of banking and market transactions, including complex and time-sensitive matters.
•    Provide guidance on conflicts of interest, insider information, market abuse and information barrier risks.
•    Manage and oversee key Control Room processes, including wall crossings and restricted, watch and insider lists.
•    Monitor the effectiveness of Control Room controls, identify emerging risks and drive remediation where required.
•    Partner with technology teams to enhance systems, reporting and automation capabilities.
•    Contribute to the ongoing development of the Conflicts of Interest Framework, policies and governance reporting.
•    Build strong relationships across the business, providing clear advice and constructive challenge where required.
•    Support knowledge sharing and capability development within the Control Room team.

Qualifications, Experience and Skills

•    5+ years' experience in a Control Room, Compliance, Market Conduct, Conflicts Management or related environment.
•    Experience conducting transaction conflict assessments within Corporate and Investment Banking, Financial Markets or a comparable wholesale banking environment.
•    Strong understanding of conflicts of interest, insider information, information barriers, wall crossings and market abuse regulations.
•    Ability to assess complex transactions, exercise sound judgement and deliver commercially pragmatic compliance advice.
•    Experience in risk monitoring, control assessment and issue remediation.
•    Exposure to process automation, technology change or system enhancement initiatives would be advantageous.
•    Relevant qualification in Law, Finance, Compliance, Risk, Audit or a related discipline  
•    Proficiency in using AI-enabled productivity tools, such as Copilot, to improve efficiency, generate insight and support decision-making. Applies critical thinking and sound judgement when interpreting outputs, remains accountable for the quality and accuracy of their work.

What We Value

At Investec we seek creative, talented people with passion, energy and stamina, who collaborate unselfishly.

We are committed to diversity and inclusion when recruiting internally and externally.