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Compliance Expert

2 months ago

Swindon, Swindon, United Kingdom The Openwork Partnership Full time
{"title": "Compliance Consultant", "description": "Key Responsibilities

We are seeking an experienced Compliance Consultant to provide effective risk-based second-line compliance services across the wealth, mortgage, and protection channels for The Openwork Partnership.

You will provide compliance consultancy to the Chief Risk & Compliance Officer, Channel Heads, Executive Committee, Senior Management Team, and their relevant direct reports.

Using your knowledge and experience of the regulatory landscape and conduct risk environment, you will provide appropriate challenge, influence change, and ensure that business owners maintain an appropriate control framework for delivery of their commercial objectives.

Key Accountabilities
  • Support the Head of Compliance in the development and delivery of the Compliance Plan, setting out an appropriate programme of risk-based compliance assurance activities.
  • Undertake a variety of monitoring and assurance activities, including compliance-based audits and risk assessments focused on systems and controls.
  • Advise Channel Heads and the wider Senior Management Team as appropriate on recommended control improvements actions, driving ownership, accountability, and timely completion of actions.
  • Provide 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.
  • Work with and influence senior management to appropriately balance delivery of their commercial objectives with the appropriate discharge of responsibilities under the Senior Managers & Certification Regime (SMCR).
  • Develop and maintain effective working relationships with first-line operational management and key stakeholders.
  • Support and proactively work 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.
Requirements

To succeed in this role, you will need:

  • 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 how this affects 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).
  • 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 judgement skills.
  • Excellent planning and organisation.
About Us

We are a dynamic, fast-paced, and growing business with huge ambition. We believe this is all made possible by the brilliant people who are part of The Openwork Partnership family.

We are investing heavily in the development of our people, continuously striving to give them the platform to reach their full potential.

We are 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 is 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.

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