Providing technical support and guidance on Openwork policies and procedures. Supporting Partners, Advisers, and internal teams, ensuring T&C processes, licensing, and financial monitoring activities are completed accurately and on time.,

Maintain accurate and up-to-date T&C records, including licensing and competency data
Produce regular and ad hoc reports (MI) on T&C activity
Support the annual review of KPIs and provide recommendations for improvements
Monitor and communicate results from T&C projects and activities
Play an active role in T&C-related projects
Coordinate financial monitoring activity, including scheduling annual and ongoing reviews
Ensure all assessments are completed in line with FCA and Openwork standards
Assess financial soundness of Partners, Shareholders, and Advisers
Maintain clear, concise records to support decision-making
Complete reviews within agreed timelines and SLAs
Approve risk assessments and make decisions on complex cases
Provide recommendations to the Financial Monitoring Risk Group and act as Secretary
Complete and review Financial Monitoring Questionnaires (FMQs) and credit checks
Maintain control documents and risk review records
Deliver training to new and existing team members
Manage quality control checks, report findings, and highlight trends or issues
Identify system or process improvements, particularly within Insight
Work closely with stakeholders, including SQRMs, QRMs, and supervisors
Keep T&C frameworks and documentation up to date and communicate changes clearly
Ensure all data is handled in line with GDPR requirements
Support regulatory reporting (e.g. RMAR)
Work with external bodies (e.g. CII) to support data sharing and CPD tracking

+ Experience in financial services

3 Financial Services / Investment jobs in Swindon