At a Glance
- Tasks: Lead compliance initiatives and enhance oversight for our investment platform.
- Company: Join Omnis Investments, a leader in the investment management sector.
- Benefits: Competitive salary, generous holiday, pension contributions, and bonus scheme.
- Other info: Collaborative culture with opportunities for professional growth.
- Why this job: Make a real impact by shaping compliance strategies in a dynamic environment.
- Qualifications: Experience in investment management and strong leadership skills required.
The predicted salary is between 85000 - 120000 £ per year.
Role purpose: define, lead and continuously improve the Compliance monitoring and oversight plan for the investment platform, working closely with key stakeholders across the Executive and extended leadership teams. You'll bring strong leadership, sound judgement and a collaborative approach helping teams navigate change initiatives, strengthening controls, and ensuring high-quality engagement with regulators and third parties. This position is based in our London office, with 3 days a required in the office.
Responsibilities
- Lead, motivate and develop a team of 2-4 colleagues, including performance management.
- Own and deliver the risk‑based Compliance Plan, including second‑line oversight, monitoring and control enhancement.
- Provide pragmatic investment risk and compliance advice to stakeholders at all levels, including support for key change initiatives.
- Manage regulatory engagement, including high‑quality responses to Depositary and FCA requests, data submissions and thematic visits.
- Produce clear compliance reporting and KPI tracking for relevant committees and senior stakeholders.
- Manage effective liaison with third parties, including the platform provider, ensuring oversight and service outcomes are met.
- Oversee risk monitoring against agreed thresholds and limits, collaborate across Group Risk/Compliance and coordinate with Internal Audit; deputise for the Director of Risk and Compliance as required.
Qualifications
- Strong track record in an investment management environment, ideally with exposure to investment platforms.
- Deep knowledge of the regulatory framework for operating an investment platform, including the wider regulatory landscape and emerging risks.
- Working knowledge of financial crime frameworks.
- Understanding of the wealth advice sector and experience operating within a vertically integrated firm.
- Proven leadership and people management capability.
- Excellent communication, influencing, facilitation and negotiation skills, with the confidence to challenge appropriately.
- Highly organised and analytical, able to interpret complex information, maintain robust audit trails, manage competing priorities and lead change.
Benefits
- Basic salary - £85,000 - £120,000 depending on experience
- Care allowance - £5,486
- Bonus scheme - on-target bonus 17.5%
- Pension - you contribute up to 5% of salary; Openwork matches with an additional 5%
- Critical illness cover
- Income protection - 1x salary
- Death in service - 4x salary
- Holiday - 27 days +
Head of Compliance (Platform) - Omnis Investments in London employer: The Openwork Partnership
Omnis Investments is an exceptional employer, offering a dynamic work environment in the heart of London where collaboration and innovation thrive. With a strong focus on employee development, you will have the opportunity to lead a motivated team while benefiting from competitive salaries, generous bonuses, and comprehensive health coverage. Our culture promotes open communication and engagement with key stakeholders, ensuring that you play a vital role in shaping compliance strategies within the investment platform sector.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance (Platform) - Omnis Investments in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment management world and let them know you're on the hunt for a Head of Compliance role. You never know who might have the inside scoop on an opportunity or can put in a good word for you.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of the regulatory framework for investment platforms. Be ready to discuss how you've navigated compliance challenges in the past and how you can bring that expertise to the table.
✨Tip Number 3
Showcase your leadership skills! When you get the chance to meet with potential employers, highlight your experience in managing teams and driving change initiatives. They want to see that you can motivate and develop others while keeping compliance at the forefront.
✨Tip Number 4
Don't forget to apply through our website! We make it easy for you to find the right opportunities and connect with us directly. Plus, it shows you're serious about joining our team and helps us keep track of your application.
We think you need these skills to ace Head of Compliance (Platform) - Omnis Investments in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the role of Head of Compliance. Highlight your experience in investment management and any leadership roles you've held. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Share specific examples of how you've led teams and navigated compliance challenges in the past. We love a good story!
Showcase Your Regulatory Knowledge:Since this role involves managing regulatory engagement, make sure to highlight your understanding of the regulatory framework for investment platforms. We’re looking for someone who can confidently tackle compliance issues and engage with regulators.
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It helps us keep everything organised and ensures your application gets the attention it deserves. We can't wait to hear from you!
How to prepare for a job interview at The Openwork Partnership
✨Know Your Compliance Stuff
Make sure you brush up on the regulatory framework for investment platforms. Be ready to discuss how your experience aligns with the compliance monitoring and oversight plan. This shows you’re not just familiar with the rules, but you can also apply them effectively.
✨Showcase Your Leadership Skills
Prepare examples of how you've led and developed teams in the past. Highlight specific instances where your leadership made a difference, especially in navigating change initiatives or enhancing controls. This will demonstrate your capability to motivate and manage a team.
✨Engage with Stakeholders
Think about how you’ve provided compliance advice to various stakeholders before. Be ready to share stories that illustrate your ability to communicate complex information clearly and influence decisions at all levels. This is key for building relationships in this role.
✨Be Ready for Regulatory Questions
Expect questions about managing regulatory engagement and responding to requests from bodies like the FCA. Prepare to discuss your approach to producing compliance reports and KPI tracking, as well as how you handle high-pressure situations with regulators.
