Appointed Representative Investigations Consultant

Openwork Ltd; Swindon; Hybrid; GBP 41,000 - 50,000; Full time

Benefits offered by this job

Bonus scheme

Pension scheme

Critical illness cover

Death in service

Holiday allowance + extra days

Private medical insurance

Dental insurance

Job summary

Openwork Partnership in Swindon is seeking an Appointed Representative Investigations consultant to analyse AR firms and advisers, identifying risks and emerging issues to support timely interventions.

The role is hybrid, working three days a week from the Swindon office, with a comprehensive benefits package including a salary up to £45,000, an on-target bonus of 7.5%, pension matching, and extensive private insurance offerings.

Qualifications

• Experience in the financial services, ideally within the Appointed Representative sector.
• Diploma level (preferred or working towards).
• Ideally knowledge of FCA regulation, specifically the AR Regime.
• Understanding of assurance models, risk/control frameworks, governance and regulatory controls.

Responsibilities

• Actively monitor and analyse various data sources to detect quality concerns, emerging risks, trends, and behavioural indicators.
• Clearly communicate findings and articulate actionable recommendations, implementing effective solutions to protect The Openwork Partnership and reduce consumer harm.
• Identify ways to make processes more efficient and strengthen regulatory controls. Help define what the processes should be and play a key role in shaping the new function.
• Support for the delivery of effective control management across AR monitoring activity.
• Display an understanding of end-to-end business processes and implications of change.
• Undertakes governance, monitoring and assurance activities including audits and risk assessments across operations.
• Projects & Audits-Provide support to projects and initiatives as required.
• Contribute to the review of policies and standards to ensure up-to-date and fit-for-purpose.

Skills

Analytical thinking

Risk management

Stakeholder management

Data analysis

Regulatory knowledge

Communication skills

Education

Diploma level (preferred or working towards)

Job description

Are you passionate about using data and insight to identify risk, influence positive change and protect customer outcomes? We're looking for a Appointed Representative Investigations consultant to join our growing team, where you'll undertake analysis of Appointed Representative (AR) firms and advisers to identify risks and emerging issues, enabling early detection and timely intervention. Working across a range of data sources, you'll uncover trends, provide meaningful insight, and make recommendations that help strengthen regulatory oversight, reduce consumer harm and support better business outcomes. This is an exciting opportunity to play a key role in shaping a developing function, improving processes and controls, and working collaboratively with stakeholders across The Openwork Partnership to drive a proactive approach to risk management.

This is a hybrid role based 3 days a week in the Swindon office.

The benefits:

• Salary - up to £45,000
• Bonus scheme - on target bonus - 7.5%
• Pension scheme - contribute up to 5% of your salary and Openwork will match you and put in an extra 5%
• Critical illness cover
• Death in service - 4x salary
• 27 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:

• Actively monitor and analyse various data sources to detect and report quality concerns, emerging risks, trends, and behavioural indicators.
• Clearly communicate findings and articulate actionable recommendations, implementing effective solutions to protect The Openwork Partnership and reduce consumer harm.
• Identify ways to make processes more efficient and strengthen regulatory controls. Help define what the processes should be and play a key role in shaping the new function.
• Support for the delivery of effective control management across AR monitoring activity.
• Display an understanding of the end-to-end business processes, procedures, and systems (across operational functions) so that the implications of change are fully understood and communicated.
• Undertakes a variety of governance, monitoring and assurance activities including supporting compliance-based audits and risk assessments focused on systems and controls across operational functions.
• Projects & Audits-Provide support to projects and initiatives as required.
• Contribute to the review of policies and standards to ensure up to date and fit for purpose.

What will you need to succeed?

• Experience in the financial services, ideally within the Appointed Representative sector.
• Qualified to Diploma Level (preferred or working towards)
• Ideally a knowledge of FCA regulation, specifically the AR Regime.
• Understanding of The Openwork Partnership assurance model, risk/control frameworks, governance and regulatory controls.
• Good market, risk and business awareness
• Knowledge of The Openwork Partnership or another AR network
• Strong analytical and problem-solving skills, with the ability to assess risks, interpret data, and make sound decisions.
• Excellent planning, organisation, communication, and stakeholder management skills, with the ability to influence and build strong relationships.
• Proactive in identifying emerging risks, analysing trends, and conducting assessments to support effective risk management.
• Collaborative and resilient approach, working closely with teams to validate findings, agree actions, and ensure accountability through to resolution

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 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.