Compliance Specialist - Platform

The Openwork Partnership; Greater London; Hybride; GBP 68 000 - 83 000; Plein temps

Avantages offerts par ce poste

Bonus 15%

Pension matched 5%

Critical illness cover

Income protection

Death in service 4x salary

27 days holiday + bank holidays + buy

Flexible benefits package

Résumé du poste

Omnis Investments is seeking a Platform Compliance Specialist to provide second-line Compliance support across the Omnis platform. You will offer advice, oversight and assurance to support regulatory compliance and customer outcomes while helping develop the Compliance framework and deliver monitoring and governance activities.

This hybrid role requires 3 days a week in our Swindon office and offers a competitive package with a 15% on-target bonus, a pension with employer match,

Qualifications

• Must have operational risk and Compliance experience in investment management or platform businesses.
• Strong knowledge of 2LoD monitoring and assurance.
• Excellent communication and influencing abilities.

Responsabilités

• Provide Compliance advice and challenge on regulatory requirements, controls, new products and business change.
• Deliver risk-based Compliance monitoring and assurance including thematic reviews and control testing.
• Identify, investigate and remediate Compliance issues, control weaknesses, incidents and breaches with corrective actions tracked to completion.
• Support oversight of Consumer Duty, customer outcomes and Financial Crime controls including triage of queries.
• Maintain and develop the platform Compliance framework, policies and governance documents.
• Support horizon scanning and regulatory change and track implementation.
• Produce Compliance reporting and MI and work with Risk, Financial Crime and Legal teams.

Connaissances

Operational risk experience

Compliance monitoring

Regulatory knowledge

Communication skills

Influencing skills

Description du poste

Come and join Omnis Investments as a Platform Compliance Specialist, where you’ll play a key role in providing second-line Compliance support across the Omnis platform.

You’ll provide advice, oversight and assurance to support regulatory compliance and good customer outcomes, while helping to develop the Compliance framework and deliver key monitoring and governance activities.

This role is hybrid working, 3 days a week from our Swindon office.

THE BENEFITS

• Salary - up to £75,000
• Bonus scheme - on target bonus - 15%
• 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
• 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

• Provide Compliance advice and constructive challenge on regulatory requirements, controls, new products, propositions and business change.
• Deliver risk-based Compliance monitoring and assurance, including thematic reviews, file reviews and control effectiveness testing.
• Identify, investigate and escape Compliance issues, control weaknesses, conduct incidents, errors and breaches, ensuring remedial actions are tracked through to completion.
• Support oversight of Consumer Duty, customer outcomes and Financial Crime controls, including the triage of Financial Crime queries and concerns.
• Maintain and develop the platform Compliance framework, policies, governance documentation and regulatory obligations.
• Support horizon scanning and regulatory change, assessing potential impacts and tracking implementation activity.
• Produce Compliance reporting and management information, support governance forums and regulatory submissions, and work closely with Risk, Financial Crime, Legal and Group Compliance.

What will you need to succeed?

• Previous operational risk and Compliance experience within investment management, ideally within a platform business.
• Strong experience of second-line (2LoD) Compliance monitoring and assurance, with a good understanding of risk-based monitoring techniques.
• Strong knowledge of the regulatory landscape, including Consumer Duty, conduct risk, Financial Crime and customer outcomes.
• Good working knowledge of key regulatory requirements including COBS, CASS, financial promotions, complaints and product governance.
• Understanding of relevant prudential requirements, including MIFIDPRU, INV-PRU and the ICARA process.
• Strong communication and influencing skills, with the confidence to provide effective Compliance advice, challenge and judgement.
• Highly organised with strong analytical and problem-solving skills, and the ability to maintain accurate records and robust audit trails.

Why us?

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.