Compliance Risk Specialist

4 weeks ago

Swindon, Swindon, United Kingdom The Openwork Partnership Full time

The Opportunity

This is a fantastic opportunity for an experienced Compliance Consultant to join The Openwork Partnership team. In this role, you will provide effective risk-based second-line compliance services across the wealth, mortgage, and protection channels. You will work closely with the Chief Risk & Compliance Officer, Channel Heads, Executive Committee, Senior Management Team, and their direct reports to ensure compliance with regulatory requirements.

Your Responsibilities

  • Support the Head of Compliance in developing and delivering the Compliance Plan, outlining a risk-based compliance assurance program.
  • Conduct monitoring and assurance activities, including compliance-based audits and risk assessments focused on systems and controls.
  • Advise Channel Heads and the Senior Management Team on recommended control improvements, driving ownership and timely completion of actions.
  • Provide compliance consultancy to key stakeholders at all levels, managing conduct risk and supporting a customer-centric culture.
  • Work with senior management to balance commercial objectives with regulatory responsibilities under the Senior Managers & Certification Regime (SMCR).
  • Develop and maintain effective working relationships with first-line operational management and key stakeholders.
  • Support the Head of Compliance in managing and delivering FCA regulatory visits, requests, and thematic reviews to a high standard.

    What You Need to Succeed

    • Demonstrable operational compliance experience in the financial services industry, ideally in the Wealth space.
    • Up-to-date knowledge of the regulatory landscape and emerging industry risks.
    • Ability to understand the long-term strategic direction of the business and its impact on processes.
    • Good knowledge of regulatory frameworks, particularly conduct risk and conduct of business rules.
    • Up-to-date knowledge of relevant FCA Handbooks (e.g., COBS, T&C, SYSC, ICOB, MCOB).
    • Good market, risk, and business awareness.
    • Ability to lead and implement change effectively.
    • Excellent verbal and written communication, influencing, facilitation, and negotiating skills.
    • Problem-solving, interpretation, decision-making, and judgment skills.
    • Excellent planning and organization.

      Why Choose Us

      The Openwork Partnership is a dynamic, fast-paced, and growing business with huge ambition. We believe this is made possible by the brilliant people who are part of our family. We invest heavily in the development of our people, striving to give them the platform to reach their full potential. We're proud of our culture, which values and respects individuality, and we're committed to building an inclusive environment that recognizes and celebrates our colleagues' differences. 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.

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