Compliance Consultant

2 days ago

Swindon, United Kingdom Openwork Ltd Full time

Compliance Consultant, This is a fantastic opportunity for an established Compliance Consultant to join the team. In the role you'll be providing effective risk based second line compliance services across the wealth, mortgage and protection channels for The Openwork Partnership.   You’ll 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'll provide appropriate challenge, influence change and ensure that business owners maintain an appropriate control framework for delivery of their commercial objectives.   This is a hybrid role with 2 days per week in our Swindon office.   

Your responsibilities will include:

  • Supporting the Head of Compliance in the development and delivery of the Compliance Plan, setting out an appropriate programme of risk-based compliance assurance activities. 
  • Undertaking a variety of monitoring and assurance activities including compliance-based audits and risk assessments focused on systems and controls.
  • Advising Channel Heads and the wider Senior Management Team as appropriate on recommended control improvements actions, driving ownership, accountability and timely completion of actions.
  • Providing 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.
  • Working with and influencing senior management to appropriately balance delivery of their commercial objectives with the appropriate discharge of responsibilities under the Senior Managers & Certification Regime (SMCR).
  • Developing and maintaining effective working relationships with first line operational management and key stakeholders.
  • Supporting and pro-actively working 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.

What will 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 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.

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