Senior Compliance Manager

3 months ago

Leeds, United Kingdom The Openwork Partnership Full time

The opportunity

As we grow and develop the Risk & Compliance function at 2plan, we are looking for an experienced Senior Compliance Manager to join the team as we take the next steps on our transformation journey.

Promoting a robust compliance culture, where colleagues at all levels are engaged and committed to upholding the highest standards of conduct. Supporting the health of the business through expert Compliance knowledge and challenge that promotes good consumer outcomes, this role will really make the difference.

The benefits:

Salary - circa £90,000 Bonus scheme - on target bonus - 17.5% Pension scheme - contribute up to 5% of your salary and Openwork 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 & Compliance Director in delivery of the Compliance agenda and key operational deliverables within the team. Works with key stakeholders in the Senior Leadership team and managers to deliver business objectives with a pragmatic and commercial lens. Supports the Board and Risk and Compliance Committee including engagement with independent NEDs, on compliance, risk and regulatory change. Works closely with peers in the Group Risk and Compliance team to foster collaboration, learning and knowledge sharing. Deputises for the Risk & Compliance Director as needed, including in relation to their MLRO and DPO accountabilities. Holds the delegated responsibility for the day-to-day management of 2plan’s whistleblowing arrangements. Feeds data and narrative into reports to the Risk and Compliance Committee and supports the Risk & Compliance Director in finalising high quality and accurate reporting. Works with, influences and advises Senior Leadership on how to align business strategies with regulatory requirements, ensuring that growth and innovation occur within a compliant framework. Helps and support the preparation of leaders for any FCA visits/interactions e.g., through role plays/mock interviews/review of MI. Works with the Risk & Compliance Director and takes a leading role in proactively managing and tracking all FCA data requests/thematic visits to ensure high quality timely responses to data requests and professionally managed visits. Supports the Risk & Compliance Director in producing a bespoke Compliance Plan each year which is supported by a robust risk assessment and is able to adapt to meet changes to the business’ risk appetite, the external regulatory environment and the 2plan strategy. Anticipates and actively engages in business initiatives to ensure compliance requirements are pro-actively considered. Motivates and manages the performance and development of the Compliance Team Develops and continuously improves compliance monitoring and control systems to ensure continuing compliance, cost effectiveness and timeliness.

What will you need to succeed?

A history of working at a similar level in a Compliance function with the ability to bring a deep technical knowledge to the business. Ideally from a Wealth Management, Advisory and Distribution Business background or experience. QCF Level 4 or similar level of professional qualification to the role Experience of leading Compliance support to complex regulatory change projects across multi distribution channels. Managing FCA relationships and interactions and preparing the business effectively to achieve positive visit outcomes. Experience of monitoring or assessing business processes and controls against regulatory requirements. Experience of creating bespoke Compliance Plans linked to a Conduct Risk agenda. Strong leadership skills to drive forward a range of cross Compliance team activities. Preferable experienced leadership and coaching, to contribute to a high performing and effective team environment. Deep operational knowledge and understanding of FCA Handbook and regulatory frameworks relating to the financial advice sector including the appointed representative regime, financial advice, the application of the Consumer Duty. anti-money laundering, data protection, fraud and others. Understanding of advisor and wealth management business models. Leadership and coaching techniques A proficient user of Microsoft Office applications including as a minimum Word, Excel, PowerPoint and Outlook. Has strong project and planning skills including strong leadership skills to act as a catalyst for change Ability to analyse regulatory information and business operations to identify compliance risks and identify appropriate controls. Excellent communication skills being able to influence and negotiate with senior stakeholders and articulate complex regulatory requirements clearly and effectively. Excellent report writing skills. Overall excellent problem solving, decision making and judgement skills. Comfortable dealing with challenge and handling conflicts. Tenacious but able to build and maintain effective relationships – does what is right rather than what is easy.

Why us?

2Plan Wealth Management was Launched in July 2007 and we have continuously built on our strengths to become one of the leading wealth management firms in the UK. Our head office administration, technology and regulatory teams provide exceptional support to all our financial advisers around the country, enabling them to deliver the best possible service to clients. The client experience is paramount and all our advisers pride themselves on providing up-to-date advice and building long lasting, professional client relationships. We want all our clients to view 2plan wealth management as their trusted go-to adviser for their financial matters.

At The Openwork Partnership, 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 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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