Senior Compliance Manager

7 days ago

Sale, United Kingdom NJR Recruitment Full time

** SENIOR COMPLIANCE MANAGER - PENSIONS**

**LOCATION: Altrincham / Sale Area**

**SALARY: Up to 70,000 for the right person**

Operating since 1998, our client work with regulated advisers to provide a range of award-winning personal pensions for UK and non-UK residents. Supported by a flexible and dynamic approach, our Client build enduring business relationships that deliver.With a clear focus on technology and innovation backed by a strong set of values, they evolve their services to ensure the offering is as robust tomorrow as it is today. By continually enhancing their expertise, our client lead the pensions market and arerenowned for building long-term client relationships founded on dependable, specialist support.

You will have worked in the Pensions / FS industry and should have gained at least 5 years' experience working in a Compliance role and should have had exposure to dealing with confidence with Regulators. Those holding a relevant AML/CFT qualification wouldbe a distinct advantage Main responsibilities will include;
- Management of the 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
- Staying up to date with proposed regulatory changes relevant to the Pensions Industry, provide impact analysis of such changes and ensure proactive communication with the business to develop appropriate policy and framework to manage the changes
- Provide day to day advice and guidance to the business on technical compliance matters relating to the sector
- Act as one of the first contact points for the Financial Conduct Authority, and other government bodies eg. FCSC
- Be accountable for the implementation of compliance policies, procedures and framework which require close collaboration with or execution by the business
- Help prepare and execute an annual Compliance Monitoring Plan for the business which includes regulatory reporting, sampling and returns
- Provide reports where necessary to the wider group, including a Compliance Report directly to the Board of Directors
- Provision of support across the group to support the business which will include education and training for sales, administration, marketing, finance
- Contribute where required during the Company's audits and reviews
- Ensure all annual and ad hoc regulatory reporting obligations are satisfied and completed by their due date
- To help deploy policies and procedures that align and monitor company activities to ensure compliance with government, legal and Company compliance standards
- Conduct compliance risk assessment processes to detect process gaps and inconsistencies
- Support and assist the business in the development and sign off new products
- Acting as the Complaints Manager, co-ordinating, investigating and responding to all complaints and regulatory type investigations within required timeframes
- Ensure all responsibilities as Data Protection Officer are carried out within a timely manner
- Carry out responsibilities as Money Laundering Reporting Officer, as required by the company, legislation and FCA Handbook
- Co-ordinate the company's approach to risk, manage the Risk Register, and chair the Risk Committee
- Help manage the workload of the Compliance Department and be responsible for the management and personal development of the Compliance Associate in the UK
- Active participation in the various board committees and manager meetings across the wider Group, working closely with the Compliance teams in other jurisdictions

The role requires
- Good leadership skills gained from experience with the ability to work well with leaders across the business and their own team. A Commercial Manager who will ensure all regulatory requirements are met, whilst considering the commercial aspects of the business
- Ability to make independent judgement and take decisions with proven analytical and reporting skills to support decision making and sound reasoning
- Ability to work with autonomy and operate with clear vision under pressure effectively and efficiently against uncertain and on unfamiliar grounds
- Ability to work on multiple projects and prioritise workload and meet strict deadlines
- Proven track record in delivering results, and able to manage complexity and uncertainty and find solutions
- Strong written and verbal communication and interpersonal skills including the capacity to articulate risks and propose solutions.

NJR 13230

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