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Compliance Manager

Job description

A new role has arisen for a SIPP Technical and Compliance Manager in Glasgow.

You must have experience dealing with Pension products and ideally have SIPP experience.

The role involves the following:

  • Ensuring the company remains compliant with all relevant regulatory requirements
  • Identifying regulatory developments and implementing into business policies and procedures
  • Regular reporting to board on all compliance matters
  • Chairing regular committee meetings with board members and senior operations staff
  • Maintaining compliance manual and all relevant registers, e.g. risk register, breaches, mandatory training and complaint root cause
  • Conducting due diligence checks on firms, investments and transfers, in line with regulatory requirements and best practice
  • Handling and reviewing complaints, including pensions ombudsman and financial ombudsman service referrals, maintaining complaint procedures and complaint root cause analysis
  • Providing compliance and technical support to colleagues and clients
  • Maintaining company website and all product literature and reviewing and signing off company communications
  • Responding to FCA data requests and consultations
  • Signing off investment and property transactions as director of multiple trustee companies
  • Conducting due diligence on potential acquisitions
  • Consulting with external suppliers and Advisers as necessary

Excellent salary and benefits package is available for the successful candidate.

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