Financial Monitoring Specialist

1 month ago

Swindon, Swindon, United Kingdom The Openwork Partnership Full time

The Opportunity

As a Financial Monitoring Specialist, you will be responsible for assessing the financial solvency and fitness of Appointed Representatives by investigating and understanding their financial soundness. You will be competent in understanding and interpreting financial monitoring risk, taking responsibility for analyzing and assessing risk, and making sound judgments.

Key Responsibilities:

  • Checking of Financial Monitoring data in accordance with the AR Financial Monitoring policy, ensuring information is accurate and applied to the set quality checking standards.
  • Proactively identifying trends and feeding continuous improvement.
  • Identifying errors and escalating risks.
  • Identifying and building relationships with Appointed Representatives, providing advice and guidance as required.

Requirements:

  • Experience in a financial services organization, preferably an AR Network.
  • Experience of Financial Crime & ALM investigations.
  • Previous experience in assessing Sole Trader, Partnership, and Limited company Financial Solvency.
  • Level 4 / Diploma qualified would be an advantage.
  • Level 1 Accountancy desirable.
  • Understanding and interpreting FCA guidance.
  • Modest knowledge of investigative techniques.
  • Working knowledge of the concept of 'treating customers fairly'.
  • Understanding of business structure, goals, and plans.
  • Awareness of data protection legislation and practical application.
  • Working knowledge of Anti Money Laundering application.
  • Keen attention to detail.
  • Investigative skills, particularly a strong analytical and questioning ability.
  • Sound judgment and decision-making capability.
  • Strong relationship and interpersonal skills.
  • Logical and methodical approach.
  • Ability to remain calm under pressure.
  • Ability to prioritize and organize.
  • Ability to analyze and evaluate complex financial information gathered on AR firms from financial reporting to assess an AR firm's financial solvency and identify key risks.
  • Develop high-quality, timely, and accurate oversight reporting, evaluating root cause, themes, and trends for the relevant T&C SME.

Why Us?

We're a dynamic, fast-paced, and growing business with huge ambition. This is all made possible by the brilliant people who are part of The Openwork Partnership family. 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 is committed to building an inclusive culture and environment which truly recognizes 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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