2plan wealth management Ltd
Compliance Consultant
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The opportunity
As a Compliance Consultant, you will carry out risk-based compliance monitoring (Second Line of Defence) and provide practical advice to the business.
Your work will help ensure we operate in line with regulatory requirements, including Consumer Duty, while offering constructive challenge and support where needed.
Location: Hybrid – 3 days per week in Leeds
Salary & Benefits
- Salary up to £60,000
- Bonus scheme - on target bonus - 10%
- Pension – contribute 5%, we’ll match with an additional 5%
- Critical illness cover
- Income protection
- Life assurance – 4x salary
- 27 days holiday + bank holidays
- Option to buy up to 10 extra days leave
- Flexible benefits including private medical insurance, dental insurance and more
Key responsibilities:
- Support the Risk & Compliance Director in developing and delivering the Compliance Plan
- Carry out risk-based monitoring and assurance activities, including thematic reviews and outcome testing
- Provide clear, practical compliance advice to business teams
- Recommend and track control improvements, ensuring actions are completed on time
- Work with stakeholders across the business to improve understanding of regulatory requirements, financial crime risks and data protection obligations
- Help identify and manage conduct risk, supporting a strong customer-focused culture
- Review new regulations and help implement regulatory change programmes
- Build strong working relationships with operational teams and key stakeholders
- Support with FCA visits, reviews, and regulatory requests, ensuring a high-quality response
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What will you need to succeed?
- Experience in a 1st or 2nd line compliance role within Financial Services
- Level 4 qualified or at least working towards it
- Strong understanding of compliance monitoring techniques and regulatory requirements
- A curious eye with the ability to think outside of the box
- Excellent organisation skills, with the ability to maintain accurate records and audit trails
- Strong problem-solving, judgement, and decision-making skills
Why us?
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.
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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.
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