Deputy Head of Compliance

Accountancy jobs >> Accounting/Financial/Insurance

Negotiable

Permanent

Description

This role can be based from Reading, Leeds, Birmingham or our client Stirling office*

You will need UK FCA Compliance experience to be considered for this role and pensions knowledge would be desirable.

Working for a prestigious Pensions company you will be primarily supporting the current Head of Compliance in delivering regulatory advice and guidance to the Pensions Group with a view to promotion to the Head of Compliance role within 2-5 years.

The role will include:

*

Providing FCA compliance guidance for two regulated companies, one of which is a SIPP operator

*

Ensuring policies, processes, systems and controls in place to comply with FCA requirements

*

Training, educating and promulgating compliance policies and processes to affected staff

*

Supporting FCA regulatory reporting

*

Regulatory compliance reviews

*

Supporting activities in relation to AML controls for all Group companies including in relation to pension scams

*

Ensuring processes, systems, controls and training in place to comply with ML Regulations and Sanctions requirements

*

Supporting the Data Protection Manager with regard to data protection issues

The person:

Experience at a senior level in the Compliance team of an FCA-regulated business with understanding of:

*

Communicating with all levels of staff in relation to regulatory issues

*

FCA regulatory returns and reporting, including PSDR, RMAR and Connect

*

FCA consultation and rule changes

*

Writing and integrating Compliance policies and procedures using plain English

*

Providing formal sign off for financial promotions

*

Knowledge of SIPP and SSAS business

*

As one of our companies is a SIPP operator and SSAS administrator, knowledge of SIPPs and SSASs in general and detailed knowledge of FCA SIPP operator requirements would be useful

*

Knowledge of the regulated advice process for corporate clients, in particular investment advice to pension schemes

*

Knowledge of AML requirements as they apply to pensions business, including KYC, Sanctions checking and prevention of financial crime

*

A key part of our business involves dealing with pension scheme members who may become party to pension scam activity. This will include dealing with member issues as well as reporting to, and working with, the relevant authorities

*

Right to work in the UK essential

* Desirable - Knowledge of Actuarial responsibilities as they apply to pension schemes
  • 1
  • Negotiable
  • None
  • None
  • CV-82139
  • Permanent
  • 0

How to Apply: Please click here to create a free Pure-jobs.com account and post your resume. Only logged in job seekers can apply for a job.

Find us at:

Never provide bank account, credit card details or any other financial information, or make any form of payment, when applying for a job. If you are ever asked to do this by a recruiter on Pure Jobs please click the Report button or contact us with the advertiser's company name and the title of the job vacancy. You should not send any money to anyone. A genuine employer with a job offer would never ask you to do this.

Report this job
x

Report a job

If you're concerned about a job advert, let us know and our quality team will investigate.

Your name(*)
Invalid Input

Your email address(*)
Invalid Input

Please select you reason(*)

Additional information(*)
Invalid Input

Invalid Input



Subscribe to updates from our blog

PLEASE NOTE! WE USE COOKIES AND SIMILAR TECHNOLOGIES FOR THE BEST USER EXPERIENCES

However, by continuing to use the site without changing settings, you are agreeing to our use of cookies.