Origen Financial Services Limited.

Job Brief The Head of Compliance provides enterprise-wide strategic leadership and direction for Origen's compliance function, ensuring adherence to regulatory and ethical standards while supporting the achievement of corporate objectives. Operating as a key member of the risk management team and trusted advisor to the Chief Risk Officer, Executive Committee and Board, this role shapes compliance strategy, governance, and culture across the organisation. The postholder exercises independent judgement in regulatory matters, maintains constructive relationships with the FCA and other external bodies, and ensures that compliance frameworks, policies and practices are robust, proportionate, and aligned to Origen's business strategy and risk appetite. Main Responsibilities To deliver appropriate compliance services across Origen. This will involve the continued identification and development of appropriate resources, systems and processes that facilitate the efficient delivery of compliance services to the business. To manage the Compliance Team as a centre of excellence in all matters pertaining to regulatory policy and interpretation, enabling the highest quality service to be provided to all areas within Origen. To ensure timely identification of regulatory requirements and guidance issued by the FCA, JMLSG and other appropriate legislative, regulatory, governmental or industry bodies, and to provide prompt assessment of the impact on Origen's processes, systems and controls, communicating this to Origen management as appropriate. To deliver the Annual Compliance Diary by accurately assessing Origen's systems and controls against the requirements set by Origen and the FCA. To develop, implementing, communicating and maintaining policies and procedures to ensure that all appropriate materials, outputs, media and documentation produced by or for Origen are approved by the Compliance team as complying with the prevailing regulatory requirements. To ensure the Compliance Team support he business with sampling of Origen financial promotions, ensuring that these are clear, fair and not misleading within agreed timescales. To provide appropriate input to key project and business development initiatives across Origen, through active liaison and participation in project teams, facilitating clear channels of communication with key business areas and the provision of a proactive compliance policy and risk consultancy service. To establish and maintain communication and partnership-working processes in order to ensure that all internal customers are aware of and accept their responsibilities for operating a compliant and risk-managed framework within their business functions. To maintain the technical knowledge necessary to carry out the role effectively. To effectively communicate with and deal with Compliance queries from across the company including all levels of management Candidate Requirements / Behaviours I identify and influence improvements in business practices and standards I create a positive environment - I am seen by others to be professional and confident I promote a culture of decision-making and problem solving I am able to make critical distinctions and achieve a balanced viewpoint to make sensible decisions whilst recognising the need to refer to others as appropriate (effective risk and commercial judgement) I ensure issues/deadlines are not overlooked I am personally well organised I demonstrate the capability to manage new tasks and initiatives to maximise outputs and fulfil stakeholders' priorities I demonstrate commercial awareness and management of resource I provide senior management with effective MI and regulatory affairs updates I take personal responsibility for ensuring approved persons have a good understanding of their responsibilities and undertake training where it is need I can influence and negotiate with other internal & external stakeholders (e.g. FCA) to reach constructive outcomes for the business. Interview Process 1st Stage = Coffee Chat 2nd Stage = Competency Based Interview

Job Brief The role holder will be the market face of the Origen Corporate Services Business and be responsible for the successful development of the channel. The role holder is expected to own the advice proposition offered and review and recommend enhancements to it over time to retain and grow the channel. The Head of Corporate Solutions is expected to act and deliver in accordance with the Consumer Duty principles at all times and conduct yourself in accordance with the FCA's Statement of Principles and Code of Practice for Approved Persons. The role holder has overall responsibility for the success and competency of their Channel by implementing and monitoring individual and Channel objectives and targets whilst ensuring company policies and procedures are adhered to. To deliver 1st line supervisory, development and coaching requirements as defined in the Origen Training and Development scheme (TOPAS) This will encompass responsibility for: Owning the OCS advice proposition and its development Meeting and exceeding Channel Business Target (P&L Budget) Identifying and securing leads of business owners and other senior personnel into Origen's individual advice capability. Main Responsibilities Work with and as directed by the Customer Director, Financial Planning and Corporate to manage the development and profitability of the Channel to maximise results. To effectively communicate client service objectives and their context in terms of Origen's goals; to improve systems, controls and standards. Hold monthly meetings, discuss task delegation, review issues, reprimand, praise and discipline staff in line with Origen's PMS and T&C requirements. To deliver 1st line supervisory, development and coaching requirements as defined in the Origen Training and Competency scheme (TOPAS) ensuring all mandatory tasks required under the scheme are conducted. Manage the relationship with Corporate clients and any sources of new clients to help retain and grow services delivered Ensure the provision of service, advice and written recommendations to clients comply with Origen's suitability advice guidelines and as per authorisation levels whilst ensuring that all Channel staff undertake and record sufficient CPD. Understand and apply appropriate risk management controls in order to reduce or eliminate the cost of compensation and the threat to TCF. To assist and drive internal and external projects as required by the EMT. Ensure effective communication when working with other departments and individuals to help to achieve optimum results for the company as a whole. Produce timely and accurate management reports, keep timely and accurate records. Actively participate in the Origen Performance Management Process. Agree personal performance objectives and goals with consultants and make every effort to satisfy these objectives within the specified time frames. Agree personal performance objectives with direct reports and ensure appraisals are carried out with all members of the Channel within the given timescales. Review your Channel performance on a regular basis as appropriate. Foster within your Channel a customer focus and concern for quality, which manifests itself in a high degree of customer satisfaction, client retention and an ability to consistently produce work of a high standard to deadline. Maintain a full and proper understanding of the market in which your Channel operates and the challenges facing it. Make effective use of time to get the job done and meet deadlines. Maintain and engender a positive, 'can do' outlook, acting at all times in a professional manner. Monitor performance including KPIs and ensure accurate reporting of management information and monthly contribution. General adherence to policies and procedures including Health and Safety. Interview and recruit staff in line with Origen's recruitment policy. Candidate Requirements / Behaviours Strong Communication skills; Verbal, Non-Verbal and Written Strong coaching and people management Strong Sales Management and Negotiation skills Strong Leadership skills Strong presentation skills Technical knowledge of Private Client, Corporate Client business Professional Connections development Teamwork Communication Customer Focus Results Driven Decisiveness Resilience Communication Analytical/Problem Solving Planning & Organising Providing support to the Director, Client Services Interview Process: 1st Stage = Coffee Chat 2nd Stage = Case Study and Competency Based Interview