Compliance Specialist - 2plan Wealth Management, Leeds
Client: The Openwork Partnership
Location: Leeds, United Kingdom
Job Category: Other
EU work permit required: Yes
Job Reference: 6efe7f40cdd2
Job Views: 17
Posted: 29.04.2025
Expiry Date: 13.06.2025
Job Description
The opportunity
As we grow and develop the Risk & Compliance function at 2plan, we are looking for an experienced Compliance Specialist to join the team. You will be responsible for providing risk-based 2LoD compliance monitoring in accordance with the Compliance Plan, managing potential conflicts of interest, and providing compliance advice to business units to ensure all activities comply with the regulatory framework. Using your knowledge of the regulatory landscape and consumer duty expectations, you will offer appropriate challenge and support to the business.
This is a hybrid role with 2 days per week in our Leeds office.
Benefits
* Salary up to £55,000
* Bonus scheme - on target bonus 10%
* Pension scheme - contribute up to 5% of your salary, with Openwork matching an additional 5%
* Critical illness cover
* Income protection - 1x salary
* Death in service - 4x salary
* 25 days holiday + bank holidays, with an option to buy up to 10 additional days
* Flexible benefits including private medical insurance, dental insurance, and more
Key Accountabilities
* Support the Risk and Compliance Director in developing and delivering the risk assessment and Compliance Plan, including risk-based compliance assurance activities
* Conduct monitoring and assurance activities such as compliance audits and risk assessments
* Advise business areas on control improvements, driving ownership and timely completion of actions
* Provide compliance consultancy to stakeholders to identify and manage conduct risk and foster a customer-centric culture
* Maintain effective relationships with operational management and stakeholders
* Assist in managing FCA regulatory visits, requests, and reviews to a high standard, strengthening regulator relations
Requirements
Qualifications/Experience:
* Operational compliance experience in financial services, in a 2LoD capacity
* Knowledge of 2LoD compliance monitoring techniques and regulatory requirements
* QCF Level 4 or equivalent professional qualification
Knowledge:
* Up-to-date knowledge of the regulatory landscape and industry risks
* Understanding of conduct risk, Conduct of Business Rules, data protection legislation, and financial crime frameworks
* Familiarity with FCA Handbooks (e.g., COBS, T&C, SYSC, ICOB, MCOB)
Skills and Competencies:
* Excellent communication, influencing, facilitation, and negotiation skills
* Highly organized with robust record-keeping skills
* Problem-solving, decision-making, and judgment skills
* Proficient in Microsoft Office applications
Why us?
2Plan Wealth Management, established in 2007, is a leading UK wealth management firm. We support our financial advisers with top-tier technology and regulatory teams, enabling excellent client service. We value our culture, diversity, and inclusion, and are committed to providing a supportive environment where all colleagues can thrive and develop professionally.
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