Job Description: Ideally you will have a Compliance background and will be reporting directly to the Head of Compliance, who is responsible for directing and controlling the company’s compliance. You will assist and work alongside them with all aspects of the Company’s internal systems and controls and FCA recording requirements.
Key responsibilities include:
• Assist in the management of the company’s compliance function to ensure the company meets all regulatory requirements and guidance through the review of existing processes, procedures and controls and enhancing or implementing changes where required.
• Stay up to date with proposed regulatory changes relevant to the Pensions Industry, ensure proactive communication with the wider team and assist to develop appropriate policy and framework to manage the changes.
• Provide day to day advice and guidance to the wider team where required on compliance.
• Assist in fact finding for any internal compliance queries or complaints, assist with compliance risk
• assessment to detect process gaps and inconsistencies.
• Ensure all records are maintained with any incidents regarding breaches, and act as contact for the
• Financial Conduct Authority, and other government bodies.
• Assist with the implementation of compliance policies, procedures and framework which require close collaboration with other areas of the business.
• Help with the preparation of the annual Compliance Monitoring Plan for the business which includes regulatory reporting, sampling and returns.
• To help deploy policies and procedures that align and monitor company activities to ensure compliance with government, legal and Company compliance standards.
• Worked in the Financial Services Industry in a Compliance role for at least 3 years.
• Work with diligence in a timely manner and at times go the extra mile to achieve a positive outcome
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities