Executive Director & Regional Manager
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.