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Compliance Consultant

Employer
Openwork
Location
Swindon, United Kingdom (Hybrid)
Salary
£50,000 - £70,000 + benefits
Closing date
7 Mar 2024

Job Details

The opportunity

At the heart of The Openwork Partnership there are over 4,200 financial advisers, based in nearly 700 firms, and supported by 600 colleagues in our central teams. Together we are a partnership and financial advice is what we do - it’s our shared history, our DNA. Whether you are planning a career with us, growing your business, protecting your family, or building a retirement plan… our purpose is to make it easier for you to face your future with confidence and optimism.

The Openwork Partnership brand continues to grow, both in terms of our adviser network and our colleagues across the Group.

As a Compliance Consultant you will provide effective risk based second line Compliance services across the wealth, mortgage and protection channels for The Openwork Partnership and for Owl Financial. You’ll provide compliance consultancy to the Chief Risk & Compliance Officer, Channel Heads, Executive Committee, Senior Management Team and their relevant direct reports.

You’ll use your knowledge and experience of the regulatory landscape and conduct risk environment to provide appropriate challenge, influence change and ensure that business owners maintain an appropriate control framework for delivery of their commercial objectives.


Your responsibilities will include:

  • Supporting the Head of Compliance in the development and delivery of the Compliance Plan, setting out an appropriate programme of risk-based compliance assurance activities.
  • Undertaking a variety of monitoring and assurance activities including compliance-based audits and risk assessments focused on systems and controls. 
  • Advising Channel Heads and the wider Senior Management Team as appropriate on recommended control improvements actions, driving ownership, accountability and timely completion of actions.
  • Providing compliance consultancy to key stakeholders at all levels across the business to appropriately manage conduct risk and support the continued development of a customer-centric culture.
  • Working with and influencing senior management to appropriately balance delivery of their commercial objectives with the appropriate discharge of responsibilities under the Senior Managers & Certification Regime (SMCR).
  • Developing and maintaining effective working relationships with first line operational management and key stakeholders.
  • Supporting and pro-actively working with the Head of Compliance to effectively manage and deliver FCA regulatory visits, requests and thematic reviews to a high standard, enhancing our relationship with the regulator.
     

Benefits

  • Salary £50,000 to £70,000
  • Bonus scheme - on target bonus - 15%
  • Pension scheme - contribute up to 5% of your salary and Openwork will match you and put in an extra 5%
  • Critical illness cover
  • Income protection - 1x salary 
  • Death in service - 4x salary
  • 25 days holiday + bank holidays, with the opportunity to buy up to an additional 10 days 
  • A range of other flexible benefits to include private medical insurance, dental insurance and much more.


What will you need to succeed?

  • Demonstrable (minimum three years) operational compliance experience in the financial services industry, preferably including audit experience.
  • Diploma in Regulated Financial Planning (Level 4 adviser qualification) or equivalent, or actively working towards.
  • Maintains an up-to-date knowledge of the regulatory landscape and emerging industry risks.
  • Ability to understand the long-term strategic direction of the Openwork Group and how this affects your monitoring and oversight processes.
  • Good knowledge of regulatory framework, particularly conduct Risk and Conduct of Business Rules.
  • Up to date knowledge of relevant FCA Handbooks (e.g. COBS, T&C, SYSC, ICOB, MCOB). 
  • Strong knowledge of products, processes and services across the Openwork proposition
  • Good knowledge of Openwork Corporate Governance and Group structures. 
  • Good market, risk and business awareness.
  • Ability to lead and implement change effectively.
  • Excellent verbal and written communication, influencing, facilitation and negotiating skills.
  • Project Management skills.
  • Problem solving, interpretation, decision making and judgement skills.
  • Excellent planning and organisation.
  • Coaching skills.


Why us?

We’re a dynamic, fast-paced and growing business with huge ambition. And we believe this is all made possible by the brilliant people who are part of The Openwork Partnership family. We’re investing heavily in the development of our people, continuously striving to give them the platform to reach their full potential.

We’re also very proud of our culture, having placed in the Top 100 Best Companies to work for again in 2021. The Openwork Partnership values and respects individuality and we are committed to building an inclusive culture and environment where you can balance a successful career with your commitments and interests outside of work. We believe that you will bring your best self to work if you are trusted to choose when, where and how you do it.

On top of offering a modern workplace with bags of development opportunities, we also offer a highly attractive benefits package to reward you for your hard work. This includes a competitive base salary, annual bonus, enhanced pension, critical illness cover, income protection and a range of other flexible benefits.

Company

We’re a dynamic, fast-paced and growing business with huge ambition. And we believe this is all made possible by the brilliant people who are part of The Openwork Partnership family. We’re investing heavily in the development of our people, continuously striving to give them the platform to reach their full potential.

We’re also very proud of our culture, having placed in the Top 100 Best Companies to work for again in 2021. The Openwork Partnership values and respects individuality and we are committed to building an inclusive culture and environment where you can balance a successful career with your commitments and interests outside of work. We believe that you will bring your best self to work if you are trusted to choose when, where and how you do it.

On top of offering a modern workplace with bags of development opportunities, we also offer a highly attractive benefits package to reward you for your hard work. This includes a competitive base salary, annual bonus, enhanced pension, critical illness cover, income protection and a range of other flexible benefits.

Company info
Location
Swindon
Wiltshire
United Kingdom

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