Technical Compliance Specialist - Wimborne, United Kingdom - PLATFORM ONE LTD

Description

About Us
Platform One is an infrastructure provider to the wealth management sector.

We provide services such as custody, brokerage, pensions and technology to IFAs, wealth managers, investment managers, family offices and much more.

One of our core offerings is an investment platform service, designed to deliver a secure, high quality investment platform for the UK and International marketplace.

The platform service enables advisers and managers to consolidate and manage all their clients investments in one place.

We also licence enterprise technology to the sector, integrating with their existing ecosystem allowing both Platform One and our clients to grow together.

Our mission is to transform the infrastructure that underpins the world of investments and advice. We are growing to be the leading provider of infrastructure to the investments and adviser community. Our platform model is devoted to championing automation and unrivalled user experience. We have a team of wonderful go-getters, located in the UK and abroad.

At Platform One we focus on delivering good outcomes for our customers.

Through our robust technology, our staff values and by acting in good faith we support our customers to pursue their financial objectives and avoid causing foreseeable harm.

We offer a comprehensive training programme to support you in meeting our own internal standards, values and behaviours, to ensure we deliver an excellent service to all our customers.

About the role
As our Technical Compliance Specialist, you will assess the impact of, and support implementation resulting from changes in legislation. You will be based in our Wimborne office with regular visits to our Salisbury office.

You'll ensure the current delivery of our products and services meets with legislative, contractual, and good industry practice standards. You will be responsible for supporting the various business functions with strong technical knowledge and industry Compliance requirements. In addition to which there will project based activities where you will be expected to lead or provide input.

You will work with SMEs in support of Technical Compliance management and provide input from a technical perspective.


Your Key Responsibilities:

• Acting to deliver good outcomes for our customers by following the Consumer Duty rules and guidance set by the FCA and our own internal core values and behaviours.
• Manage daily Technical Compliance enquiries from the business, including but not limited to changes in legislation and regulation and HMRC pension and ISA rules.
• Work with other Platform One departments, product providers and clients to support compliance, reduce risk and effect change leading to continual improvement.
• Identify trends through knowledge capture of our monitoring activities, risk management process and systems and controls to identify risks and enable priorities to be established to improve and rectify.
• Support Platform One teams on compliance technical issues and initiatives.
• Identify necessary changes in process effecting compliance, risk and efficient working practices.
• Manage and maintain regulatory horizon scanning for the business.
• Develop and maintain regulatory/legislative change management information for the Board and Senior Management.
• Communicate changes to legislation and regulation to all employees of Platform One.
• Work with key stakeholders to implement regulatory change, including internal and external communications and project oversight.
• Ensuring that all our external literature is continually updated to meet legislative and contractual requirements. Review and sign off external literature produced by the company.
• Manage compliance and regulatory requests and queries.
• Resolve issues and concerns from external and internal stakeholders.
• Establish and maintain relations with appropriate governmental & regulatory third parties.
• Maintain and update assigned compliance program and risk assessments.
• Assist with the development of policies, standards and procedures.
• Collaborate on changes and to internal and regulatory policies as well as oversight for compliance monitoring and testing.
• Serve as compliance liaison to senior management team alongside the Compliance Manager.
• Deliver product specific technical training.

Skills & Attributes

• Detailed knowledge of Legal and Compliance Regulations relating to Platform One Business, this must include a strong technical knowledge of SIPP and ISA products and HMRC pension and ISA legislation.
• Able to use leadership and critical thinking skills to assist with risk assessment.
• A natural problem solver with a strict attention to detail.
• Ability to advise, negotiate and influence at all levels.

Employee Benefits

• 25 days holiday plus bank holidays.
• Your birthday off, this is not included as holiday, an extra little bonus
• Vitality private healthcare.
• Yurtle caregivers support & insurance.
• Smart Pensions pen