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.