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Compliance Specialist
2 months ago
The Opportunity
We are seeking an experienced Compliance Specialist to join our team at The Openwork Partnership, providing effective risk-based second-line compliance services across the wealth, mortgage, and protection channels. As a Compliance Specialist, you will provide compliance consultancy to senior management, channel heads, and their direct reports, ensuring that business owners maintain an appropriate control framework for delivery of their commercial objectives.
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 senior management and channel heads on recommended control improvements, driving ownership, accountability, and timely completion of actions.
- Provide compliance consultancy to key stakeholders at all levels, managing conduct risk and supporting the development of 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.
Requirements
- Demonstrable operational compliance experience in the financial services industry, preferably 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.
About Us
The Openwork Partnership is a dynamic, fast-paced, and growing business with huge ambition. We believe that our people are the key to our success, and we invest heavily in their development. We strive to create an inclusive culture and environment where individuals can balance their career with their personal commitments and interests. We offer a modern workplace, competitive benefits package, and opportunities for growth and development.
