Platform Compliance & Risk Specialist (Hybrid)

Openwork Limited; Swindon; Hybrid; GBP 68,000 - 83,000; Full time

Benefits offered by this job

On-target bonus 15%

Pension matching up to 5% + Openwork 5

Critical illness cover

Income protection

Death in service 4x salary

27 days holiday + bank holidays (+10)

Private medical insurance

Dental insurance

Job summary

The Openwork Partnership is recruiting a Platform Compliance Specialist in Swindon for a hybrid role (3 days in office). You will provide second-line compliance support across the Omnis platform, delivering monitoring, governance and regulatory assurance to drive compliant customer outcomes.

You will develop the Compliance framework, advise on regulatory requirements, and support horizon scanning and reporting.

Qualifications

• 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.

Responsibilities

• 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 escalate 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.

Job description

The Openwork Partnership is recruiting a Platform Compliance Specialist in Swindon for a hybrid role (3 days in office). You will provide second-line compliance support across the Omnis platform, delivering monitoring, governance and regulatory assurance to drive compliant customer outcomes.

You will develop the Compliance framework, advise on regulatory requirements, and support horizon scanning and reporting.