Compliance Specialist - Omnis Investments

We're looking for a Compliance Specialist to provide high-quality second line oversight and pragmatic advice across Omnis. You'll play a key role in delivering the Compliance Plan and regulatory assurance-assessing risk, testing the effectiveness of controls, and driving timely completion of actions. This is a hands-on role for someone with strong judgement who's comfortable working independently and partnering with stakeholders at all levels.,

• Advise business areas on control improvements-driving ownership, accountability and timely closure of actions.
• Provide investment risk and compliance consultancy to stakeholders at all levels across the business.
• Lead second line engagement and change initiatives to improve risk and compliance outcomes.
• Support delivery of the Omnis and wider group strategy, ensuring risk and compliance considerations are embedded.
• Partner with the Head of Risk & Compliance to develop and deliver the Compliance Plan.
• Deliver risk-based compliance assurance and monitoring activities.
• Work proactively with the Head of Risk & Compliance to manage and respond to Depositary and FCA requests to a high standard.
• Review, track, report and escalate fund adherence to investment borrowing powers (COLL 5 and ICVC Prospectuses).
• Produce compliance reporting and KPI tracking for the team and relevant committee(s).
• Review daily risk measurement checks (e.g., derivatives exposure, VaR limits and back-testing overshoots, liquidity thresholds) and escalate where appropriate.
• Maintain accurate records and robust audit trails.
  
  Operational risk and compliance experience in the investment management sector, ideally within an ACD business.
• Strong knowledge of second line compliance monitoring and UK regulatory requirements, including investment principles, investment types and portfolio liquidity.
• Excellent written and verbal communication skills, with the ability to influence, facilitate and negotiate.
• Highly organised, with a proven track record of maintaining detailed records and clear audit trails.
• Strong problem-solving skills, with sound judgement and decision-making capability.
• Ability to lead and implement change, improving ways of working and controls.
• Strong planning and prioritisation skills, able to manage multiple deadlines.
• Proficient in Microsoft Office (Word, Excel, PowerPoint and Outlook).
  
  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.


• Salary - up to £70,000
• 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 - 1x salary
• Death in service - 4x salary
• 27 days holiday + bank holidays, with the opportunity to buy up to an additional 10 days
• Up to 3 days paid leave for volunteering
• A range of other flexible benefits to include private medical insurance, dental insurance and much more.