Compliance Officer
3 weeks ago
Due to an internal relocation my client, a leading financial services organisation, currently seek an experienced Compliance Officer with a background in pensions and investments (ideally SIPP and ISA). Duties will include:
- Regulatory monitoring focussing on FCA regulations and client outcomes
- Working closely with the Compliance Manager to track and monitor the compliance programme
- Undertake analysis to identify areas of shortfall and risk and provide input in order to mitigate future issues
- Deliver a range of reports summarising finding and identifying weaknesses in processes and procedures
- Ensure that breaches / complaints are dealt with effectively and that all relevant information is fully documented and recorded
- Track and report regarding remedial actions
- Maintain CPD records
- Generate MI reports for senior management review
Applicants must possess pensions experience, particularly SIPP, along with proven experience in the compliance / monitoring field. Strong communication and decision making skills are a pre-requisite along with a good understanding of FCA rules and regulationspertaining to the pension and investment arena.
This is a great opportunity to join a leading UK financial services organisation in a key role within their compliance function. A generous remuneration and benefits package are on offer along with hybrid working and fantastic offices.
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