Compliance Business Partner - Investments

TN United Kingdom; London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading company in London seeks a Compliance Business Partner to enhance its compliance framework. The role involves developing policies, assessing regulatory requirements, and providing guidance to ensure adherence to ethical standards. Join a skilled team to support sustainable business growth and client outcomes.

Qualifications

• Experience in developing compliance frameworks and policies.
• Ability to assess regulatory requirements and internal controls.

Responsibilities

• Develop and maintain an independent Compliance Function.
• Provide guidance on regulatory obligations and compliance best practices.
• Conduct monitoring activities and escalate compliance issues.

Skills

Compliance

Regulatory Risk Management

Ethical Standards

Job description

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Compliance Business Partner - Investments, London

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Client:

WTW

Location:

London, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Reference:

abf6c632f66b

Job Views:

2

Posted:

14.05.2025

Expiry Date:

28.06.2025

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Job Description:

The WTW Compliance Function’s aim is to proactively support the Company to generate sustainable value, helping the company to deliver good client outcomes, manage its conduct, protect against regulatory risk, and to maintain strong regulatory relationships. We aim to be a trusted partner to the business. Within WTW’s internal control system, we form part of the Second Line of Defence, as a function independent from daily business activities.

Our Every Day Effect is to inspire ethical decisions. Compliance is a trusted Professional Partner, supporting WTW’s sustainable business growth by providing pragmatic advice, oversight and effective challenge.

We lead the management and co-ordination of WTW’s Compliance policies and procedures, identifying applicable regulatory requirements and assisting in implementing relevant processes to enable standards to be met. We also provide guidance and training. We monitor compliance with regulatory obligations and implemented controls within the Compliance Program. The Compliance team leads the management and co-ordination of the requirements of our global regulators.

The Business

Health, Wealth & Career - three interrelated areas critical to organizations and the people who fuel them. Together, they drive productivity and engagement. They underpin culture and business performance. Managed well, they represent some of the most fruitful investments organizations make.

Our expertise, data and user-friendly tools help clients focus their time and investment. We uncover issues that improve population health, build skills and enhance financial wellbeing. We help clients maintain leading program design, efficient administration and operations as well as astute financial management. We help organizations navigate new ways of working ̶ empowering their people to support ESG initiatives and build strong, sustainable organizations. All of this brings a compelling employee experience while keeping costs and risks in check.

HWC core businesses (BDA, Health & Benefits, Investments, Retirement, Outsourcing and Work & Rewards) offer solutions strengthened by our integrating capabilities (Employee Experience, Integrated & Global Solutions and the Climate and Resilience hub). Together, we transform tomorrows.

The Role

Reporting to the Compliance Director – with a matrix reporting line into Senior Compliance Business Partner – Investments, within a team of skilled colleagues, the Compliance Business Partner is a key contributor to the team’s aim of maintaining an efficient, independent Compliance Function and framework, principally through:

Identify, Plan and Apply

• Develop, implement, embed and maintain an efficient and independent Compliance Function.
• Maintain up-to-date mapping of the regulatory framework applicable to the Relevant Business, determining the effect of any changes, assessing the adequacy of internal policies, procedures and controls in view of the changes, and briefing relevant business and Compliance stakeholders.
• Assess whether policies and procedures, systems and controls fully address regulatory or compliance strategic requirements applicable to the Relevant Business. Develop, implement, embed and maintain an efficient Compliance framework of policies and procedures, systems and controls.
• Identify compliance training needs within the Relevant Business and lead the development and delivery of compliance training ensuring appropriate business input.
• Create and deliver an annual Compliance Plan for the Relevant Business.

Support

• Champion Compliance at all levels of the Relevant Business, partnering with the business, support and provide pragmatic risk-based advice and counsel to all appropriate stakeholders as well as provide effective challenge and oversight.
• Engage in the business risk assessment process, providing support in the identification of compliance and regulatory risks, using commercial awareness to provide challenge so that such risks are appropriately understood and managed.
• Provide guidance and advice to business management in developing appropriate 'tone from the top' and awareness of required business conduct and ethical standards, including the Code of Conduct.
• Provide technical regulatory advice and support to the Relevant Business and other stakeholders in understanding their responsibilities and obligations under relevant WTW policies and regulatory requirements. Engage with operational areas to assist with formulating compliance best-practice procedures that are balanced to meet the needs of the business, the customers and regulators.
• Compliance Function ad-hoc strategic or operational projects as requested.
• Record keeping in line with regulatory requirements and/or WTW policies and procedures.
• Investigate suspected, alleged or actual breaches of regulatory requirements or WTW Compliance policies and procedures within the Relevant Business and ensure resolution. Develop corrective action plans and track implementation status for revisions of other compliance-related controls.

Monitor

• Carry out monitoring activities in line with the annual Compliance Plan and on an ad-hoc basis, ensuring that remedial action is taken, and material issues, incidents and breaches are escalated to relevant stakeholders.
• Collate and deliver accurate and appropriate compliance metrics and information to appropriate stakeholders in the Relevant Business and the Compliance Function. Compile and deliver compliance records or information requested by internal/external auditors.

Engagement

• Represent WTW in relevant industry or similar associations or groups as appropriate.
• Act as a professional, trusted and transparent Business Partner to the Relevant Business and other stakeholders.
• Ensure quality and proactive engagement with the Relevant Business at all levels, by attending relevant meetings, and supporting the business in meeting its regulatory obligations. Partner with management in the Relevant Business and foster a collaborative approach to embedding ‘compliance culture’ throughout the business and to support the Three Lines of Defence model.
• Foster close relationships with other Functions including Legal, Risk and Internal Audit.