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Deputy Head of Compliance

Salary Competitive
Type Permanent
Location Leeds
Sectors Pensions & Employee Benefits
Job Reference CORP/LXB/31669
Contact Lloyd Balfour
Date posted 29-05-2019

An exciting opportunity to join a leading UK Pensions specialist supporting the Head of Compliance in delivering regulatory advice and guidance to the Pensions Group with a view to promotion to Head of Compliance role.

Location: Manchester, Reading, Leeds, Stirling with some flex to WFH

The role will include:

Providing FCA compliance guidance for two regulated companies, one of which is a SIPP operator
Ensuring policies, processes, systems andcontrols in place to comply with FCA requirements
Training, educating and promulgatingcompliance 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 andtraining in place to comply with ML Regulations and Sanctions requirements
Supporting the Data Protection Manager withregard to data protection issues

Essential Requirements

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

Communicating with all levels of staff inrelation 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
Providing formal sign off for fin. proms
Knowledge of SIPP and SSAS business

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 the business involves dealing with pension scheme members who may become party to pension scam activity include dealing with member issuesas well as reporting to, and working with, the relevant authorities.

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Contact Lloyd about this job

Associate, Consultant