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Compliance Associate

Posted 2 February by IPS Group Easy Apply Ended

This specialist pension providers is looking to hire a Compliance Associate to assist their Compliance Manager in the day-to-day running of their compliance activities. The role will have particular focus on the following:

  • SIPP client file audits
  • Undertaking ongoing compliance
  • Maintaining Terms of Business with Advisers and Investment Providers
  • Dealing with requests and queries received from Regulatory and law enforcement authorities.
  • Liaison with other Group offices.
  • Maintaining compliance records.
  • Providing compliance support to Management, Administration, Sales and Intermediary teams.
  • Supporting the Compliance Manager to deliver Money Laundering, Data Protection and general compliance training to colleagues and contribute to an effective Compliance culture within the business.
  • Executing assigned projects in line with the UK Compliance plan and on an ad hoc basis.
  • Assist in the development and ongoing review of in-house controls and compliance policies and procedures, thereby ensuring operation within regulatory requirements.
  • Support the Compliance Manager in monitoring regulatory updates and guidance from the FCA and support the team in providing concise and informative summaries to the business.
  • Support the investigation of regulatory complaints in accordance with DISP and maintaining the complaints register.
  • Maintain the breaches register and report accordingly.
  • Assist in the client due diligence process and the recording of suspicious transactions.

The successful candidate will have a minimum of approximately 3 years proven experience of working within the UK Financial Services industry, ideally gained with a Pensions provider and in a compliance related function.

Also required is an excellent attention to detail, strong research and analytical skills, the ability to communicate clearly internally and externally and strong report writing skills.

Required skills

  • sipp
  • risk
  • audit
  • compliance

Reference: 34387447

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