Senior Compliance Manager - 2plan Wealth Management

• A history of working at a similar level in a Compliance function with the ability to bring a deep technical knowledge to the business. Ideally from a Wealth Management, Advisory and Distribution Business background or experience.
• QCF Level 4 or similar level of professional qualification to the role

• Experience of leading Compliance support to complex regulatory change projects across multi distribution channels.
• Managing FCA relationships and interactions and preparing the business effectively to achieve positive visit outcomes.
• Experience of monitoring or assessing business processes and controls against regulatory requirements.
• Experience of creating bespoke Compliance Plans linked to a Conduct Risk agenda.
• Strong leadership skills to drive forward a range of cross Compliance team activities.
• Preferable experienced leadership and coaching, to contribute to a high performing and effective team environment.  
• Deep operational knowledge and understanding of FCA Handbook and regulatory frameworks relating to the financial advice sector including the appointed representative regime, financial advice, the application of the Consumer Duty. anti-money laundering, data protection, fraud and others.
• Understanding of advisor and wealth management business models.
• Leadership and coaching techniques
• A proficient user of Microsoft Office applications including as a minimum Word, Excel, PowerPoint and Outlook.  
• Has strong project and planning skills including strong leadership skills to act as a catalyst for change
• Ability to analyse regulatory information and business operations to identify compliance risks and identify appropriate controls.
• Excellent communication skills being able to influence and negotiate with senior stakeholders and articulate complex regulatory requirements clearly and effectively.
• Excellent report writing skills.
• Overall excellent problem solving, decision making and judgement skills.
• Comfortable dealing with challenge and handling conflicts.
• Tenacious but able to build and maintain effective relationships – does what is right rather than what is easy.

2Plan Wealth Management was Launched in July 2007 and we have continuously built on our strengths to become one of the leading wealth management firms in the UK. Our head office administration, technology and regulatory teams provide exceptional support to all our financial advisers around the country, enabling them to deliver the best possible service to clients. The client experience is paramount and all our advisers pride themselves on providing up-to-date advice and building long lasting, professional client relationships. We want all our clients to view 2plan wealth management as their trusted go-to adviser for their financial matters.

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.