Compliance Risk Specialist

4 weeks ago

Leeds, Leeds, United Kingdom The Openwork Partnership Full time

The Opportunity

We are seeking an experienced Compliance Specialist to join our team at The Openwork Partnership. As a key member of our Risk and Compliance function, you will be responsible for providing risk-based 2LoD compliance monitoring in accordance with our Compliance Plan. You will also provide compliance advice to business units, ensuring that all activities are carried out within the regulatory framework.

The Benefits

  • Salary - up to £55,000
  • Bonus scheme - on target bonus 10%
  • Pension scheme - contribute up to 5% of your salary and The Openwork Partnership 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.

Key Accountabilities

  • Supports the Risk and Compliance Director in the development and delivery of the risk assessment and Compliance Plan setting out an appropriate programme of risk-based compliance assurance activities
  • Undertakes a variety of monitoring and assurance activities including compliance-based audits and risk assessments.
  • Advises business areas, as appropriate, on recommended control improvements actions, driving ownership, accountability and timely completion of actions.
  • Provides compliance consultancy to key stakeholders at all levels across the business to appropriately identify and manage conduct risk and support the continued development of a customer-centric culture
  • Develops and maintains effective working relationships with first line operational management and key stakeholders
  • Supports and pro-actively works with the Risk and Compliance Director to effectively manage and deliver FCA regulatory visits, requests and thematic reviews to a high standard, enhancing our relationship with the regulator.

What will you need to succeed?

Qualification/Experience:

  • Operational compliance experience in financial services industry, in a 2LoD capacity.
  • Strong understanding and experience of 2LoD compliance monitoring techniques and regulatory requirements.
  • QCF Level 4 or similar level of professional qualification to the role

Knowledge:

  • Maintains up to date knowledge of the regulatory landscape and emerging industry risks
  • Good knowledge of regulatory framework, particularly conduct risk and Conduct of Business Rules
  • Working knowledge of data protection legislation and financial crime frameworks.
  • Up to date knowledge of relevant FCA Handbooks e.g. COBS, T&C, SYSC, ICOB, MCOB
  • Good market, risk and business awareness.

Skills and Competencies:

  • Excellent oral/written communication, influencing, facilitation and negotiating skills
  • Exceptionally well-organized, with a proven track record of maintaining detailed records and robust audit trails.
  • Problem Solving, interpretation, decision making and judgement skills
  • Excellent planning and organising skills
  • A proficient user of Microsoft Office applications including as a minimum Word, Excel, PowerPoint and Outlook.

Why us?

The Openwork Partnership is a dynamic, fast-paced and growing business with huge ambition. We're investing heavily in our colleagues, continuously striving to give them the platform to develop personally and professionally and reach their full potential. We're also very proud of our culture, as one of the Best 100 Large Companies to work for in 2022. The Openwork Partnership values and respects individuality and we are committed to building an inclusive culture and environment which truly recognises and celebrates our colleague's individual differences and identities – just like our financial advice, for us, it's personal. We believe everyone can make a difference and your race, religion, disability, and gender will never be a barrier. At Openwork, we have a strong ethic of care for each other 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.

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