Fresh Jobs at Investec

Description of the role 

• This role leads both Compliance Monitoring and Compliance Assurance functions, with a strategic focus on designing and executing a robust assurance framework. The Head of Compliance Assurance and Monitoring plays a critical role in evaluating the effectiveness of compliance controls, policies, and procedures across the organisation.
• As the key representative for Compliance in the Combined Assurance model, this role integrates perspectives from Compliance, Operational Risk, and Internal Audit to deliver meaningful assurance to the Board. The incumbent will collaborate across functions to ensure alignment, consistency, and strategic insights supporting informed decision-making through high-quality assurance outputs.
• We're looking for a dynamic, energetic individual with integrity, tenacity, and a mindset that challenges convention. Someone who brings fresh thinking to the Compliance Monitoring community and embodies our culture of ownership, curiosity, and excellence.

Key Responsibilities

Leadership and Strategy

• Develop and implement a risk-based monitoring strategy aligned with regulatory requirements and business objectives.
• Lead and grow a high-performing team, fostering independence, critical thinking, and continuous learning.
• Oversee the execution of monitoring plans across jurisdictions and business lines, ensuring timely delivery of actionable insights.

Combined Assurance

• Actively support the Group's Combined Assurance framework by aligning compliance monitoring with Internal Audit, Operational Risk, and first-line control functions.
• Participate in assurance forums and contribute to the development of the Group assurance universe.
• Provide input into assurance planning to optimise coverage, reduce duplication, and enhance overall assurance outcomes.
• Leverage assurance outputs to strengthen risk insights and drive a cohesive compliance oversight model.

Monitoring Framework

• Design and maintain a robust monitoring framework incorporating risk assessment, data collection, and reporting mechanisms.
• Continuously enhance monitoring tools and techniques to improve efficiency and impact.
• Ensure monitoring activities meet regulatory standards and industry best practices.

Data Analysis and Reporting

• Analyse monitoring data to identify trends, anomalies, and areas for improvement.
• Deliver clear, concise reports to senior management and relevant stakeholders.
• Support Group Compliance in providing assurance to the Board, Audit & Risk Committees, and regulators.

Collaboration and Communication

• Partner with other divisions to ensure a unified approach to compliance and monitoring.
• Facilitate training and awareness sessions to embed monitoring practices and compliance understanding across the organisation.

Continuous Improvement

• Drive innovation in monitoring practices through technology and data analytics.
• Stay abreast of regulatory developments, industry trends, and emerging risks to ensure relevance and responsiveness.

Qualifications, Experience and Skills

• Bachelor's degree in finance, Business, Risk Management, or a related field.
• Master's degree or professional certifications (e.g., ACAMS, ICA) are advantageous.
• 8+ years' experience in compliance, monitoring, internal audit, or risk management within financial services.
• Proven leadership in managing teams and delivering compliance-related projects.
• Experience in thematic compliance monitoring initiatives and exposure to combined assurance frameworks are considered advantageous.
• Deep understanding of financial regulations and legislation, including:
• Financial Crime Compliance
• POPIA/GDPR
• Conduct (FAIS, TCF)
• Conflicts of Interest
• Banks Act, Customs and Excise Act, FATCA/CRS
• Proficiency in data analysis tools, compliance software, and assurance systems.
• Strategic thinking and planning
• Cultural leadership and collaboration
• Strong analytical and report-writing skills
• High ethical standards and sound judgment
• Attention to detail and accuracy
• Ability to work under pressure and meet deadlines
• Excellent communication and stakeholder engagement skills

go to method of application »

Description of the role

• The Financial Crime Assurance Lead is responsible for providing independent oversight of the Group's Financial Crime Compliance (FCC) framework. This role delivers objective, risk-based assurance on the design and operational effectiveness of FCC controls across business units, central teams, and jurisdictions.
• The role ensures alignment with the Group's Financial Crime Risk Management and Compliance Programme (RMCP) and supports Group Compliance in delivering assurance to executive committees, the Board, and regulators.

Key Responsibilities

Strategy & Functional Oversight

• Develop and deliver a risk-based FCC assurance plan, informed by Group FCC risk priorities, the enterprise-wide risk assessment (EWRA), audit findings, regulatory trends, and change.
• Provide assurance coverage across business units, Group FCC, jurisdictions, centralised operations, and technology teams.
• Coordinate with business unit and jurisdictional compliance monitoring teams (including offshore branches and subsidiaries) to ensure consistent scope, methodology, and reporting—while avoiding duplication.

Independent Review Activities

• Lead and execute thematic reviews and control testing across key FCC domains: client due diligence, transaction monitoring, sanctions, governance, training, reporting, and investigations.
• Conduct special reviews in response to internal or external risk events, emerging threats, or regulatory concerns.
• Track and test the effectiveness of remediation linked to internal findings, regulatory inspections, or internal audit outcomes.

Technology & Analytics

• Champion the integration of analytics into control testing and thematic review processes.
• Partner with analytics and technology teams to enable continuous and automated monitoring.
• Use dashboards, trend analysis, and data-driven triggers to inform review scope and prioritisation.

Governance & Reporting

• Support Group Compliance in providing assurance to the Board, Audit & Risk Committees, and regulators.
• Maintain dashboards and tracking mechanisms for open findings and remediation progress.
• Present findings, thematic risks, and trend analysis to relevant forums, including Financial Crime Forums, the Group Compliance Monitoring Forum, and FCC SteerCo.

Qualifications, Experience and Skills

• Bachelor's degree in compliance, risk management, finance, or a related field.
• Professional certifications such as ACAMS, ICA, or equivalent are advantageous.
• Minimum of 8 years' experience in financial crime compliance, internal audit, or assurance roles within financial services.
• Demonstrated experience in leading thematic reviews and working with local and international financial crime regulations.
• Strong understanding of financial crime risk types, control frameworks, and regulatory expectations.
• Expertise in risk-based compliance monitoring and assurance methodologies.
• Strong analytical skills with the ability to interpret data and identify trends.
• Proficient in monitoring software and data analysis tools.
• Excellent written and verbal communication skills, with the ability to engage and influence stakeholders at all levels.
• High attention to detail, critical thinking, and problem-solving capabilities.
• Ability to work independently and collaboratively in a team environment. 
• Independence of thought and high ethical standards.