Head of Assurance Standards

2 months ago

Swindon, United Kingdom Openwork UK Ltd Full time

A rare and exciting opportunity to take responsibility for the strategic delivery of our Assurance Model (control framework) across The Openwork Partnership. The opportunity will give autonomy for shaping this, putting your own creative stamp on things and to continue the evolution of the framework across the business. As Head of Assurance Standards you will own the framework for the appropriate oversight of our Appointed Representatives. A data focused individual, you should be adept at leveraging and harnessing technology against a compliance backdrop.

This is a Swindon based role, with hybrid working opportunity.

**We'd like you to be responsible for**:

- Leadership, management, and oversight of the assurance standards function of c. 30-40 colleagues
- Design and implement a compliant and effective control framework. that uses data, metrics and leverages technology to provide appropriate oversight and root cause analysis that Identifies emerging risks In line with risk appetite.
- Safe execution of the controls within the risk-based framework for the organisation, T&C supervision, financial monitoring, advertising approvals, pre and post-sale checking and vetting.
- Design and implement a risk-based checking approach which reflects Openwork’s risk appetite and Partners needs to meet its strategic objectives and supports the competence and quality within the Adviser Network.
- Design and ownership of the T&C schemes
- Design and implement the control and monitoring framework for Advertising Approval
- Financial Promotions function
- Delivery of an assurance and reporting framework across all core operational functions.
- Owning vetting standards
- To develop and deliver continuous improvement initiatives to ensure assurance standards are aligned to support Openwork and operational objectives
- Contribute to key Change Initiatives to ensure processes are designed with consumer outcomes and quality objectives in mind.

**Key Accountabilities**
- The role holder is accountable for ensuring that the assurance processes and standards conform to expected industry regulation and Openwork’s business requirements.
- Day to day management of the assurance standards function against agreed service standards, key performance Indicators and metrics.
- Clearly documented T&C schemes for the Openwork network, OWL Financial and safeguarded benefits
- Effectiveness of the overall framework and T&C schemes
- Responsible for the vetting standards and framework and being the initial point of escalation
- Delivery of an appropriately robust Advertising Approval - Financial Promotions framework and safe execution of this function
- Delivery of MI & reporting, undertake analysis of factual and qualitative information to highlight trends, feed into regulatory reporting and prepare RCA to Identify emerging trends to maintain effectiveness of the control framework
- Working closely with Execs, Senior Managers, Business Channels, Operations, Proposition, T&C and Compliance teams to monitor and improve advice quality across the Network.
- Manage complex case support from FIRST help desk referrals.
- Effective management of demand and capacity to meet agreed quota metrics in line with risk appetite.
- Manage annual budget of c. £3-5m
- Represents and presents at key governance groups across the organisation.
- Deputises for and/or represents the Operations Director at meetings / groups as required.
- Relevant regulatory reporting where applicable
- Business owner of 3rd party outsourced relationships where applicable
- SMCR Certified post

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