Executive Director & Regional Manager
We are currently searching for an experienced SIPP Compliance Specialist (or senior administrator who wants to take that next step).
Ideally you will have a SIPP technical background and will be reporting directly to the Senior Compliance Manager & MLRO, who is responsible for directing and controlling the company's compliance.
You will assist and work alongside them with all aspects of the Company's internal systems and controls and FCA recording requirements.
- Assist in the 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.
- Answer and research pension technical queries and liaise with the external and internal stakeholders to convey your replies
- Stay up to date with proposed regulatory changes relevant to the Pensions Industry, ensure proactive communication with the wider team and assist to develop appropriate policy and framework to manage the changes.
- Provide day to day advice and guidance to the wider team where required on compliance.
- Assist in fact finding for any internal compliance queries or complaints, assist with compliance risk assessment to detect process gaps and inconsistencies.
- Ensure all records are maintained with any incidents regarding breaches, and act as contact for the Financial Conduct Authority, and other government bodies e.g., FCSC
- Assist with the implementation of compliance policies, procedures and framework which require close collaboration with other areas of the business.
- Help with the preparation of the annual Compliance Monitoring Plan for the business which includes regulatory reporting, sampling and returns.
- Help in provision of reports where necessary to the wider group.
- Provision of support across the business which will include education and training for sales, administration, marketing, finance. Contribute where required during the Company's audits and reviews.
- Assist with all annual and ad hoc regulatory reporting obligations to ensure they are 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.
The role requires:
- Excellent pensions knowledge
- Excellent numerical and customer services skills.
- Aptitude to learn and adapt new skills, processes, systems, and tasks.
- Be able to use key productivity tools such as Microsoft Word, Excel, and Outlook efficiently.
- Work with diligence in a timely manner and at times go the extra mile to achieve a positive outcome.
- Ability to self-organise and prioritise the workload, track and see tasks through to completion while making sure deadlines are met.
- Work independently or as part of a team maintaining confidentiality.
- Education and Experience.
- Worked in the Financial Services Industry in a SIPP role for at least 3 years.
In return you will receive an excellent salary and bonus package
Our Diversity, Equity and Inclusion Mission
At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.