Compliance Specialist

Compliance Specialist - SIPP

Location | Sale

SALARY | £26,000 - £32,000

NJR Recruitment are again working in Partnership with a Pension Administrator who has been operating since 1998, and who collaborate with regulated advisers to offer 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 their offering is as robust tomorrow as it is today.

They now lead the pensions market and are renowned for building long-term client relationships founded on dependable, specialist support. An exciting opportunity is now available for a Compliance Specialist who comes from a SIPP background to join their growing team in South Manchester. Candidate applying for the role will Ideally have a compliance and a strong pensions technical background. Reporting directly to the Head of Compliance who is responsible for directing and controlling the company’s compliance, you will be expected to work within the Compliance Team but very much as an individual with autonomy. The primary objective of the compliance team is to ensure that we continue to meet all the rules and regulations set by the Financial Conduct Authority (FCA), the information commissioner’s office (ICO) and The Pensions regulator (TPR).

Main responsibilities;

• Conducting and analysis KYC checks including enhanced due diligence
• Carrying our due diligence on third party’s
• The review of existing processes, procedures and controls and enhancing or implementing changes where needed
• The implementation of compliance policies, procedures and framework which require close collaboration with other areas of the business
• New and ongoing projects
• Preparation and attendance of committee meetings
• Preparation of MI and KPI’s on a quarterly basis
• Drafting compliance policies
• Answering and research pension technical queries and consult with the external and internal stakeholders
• Day to day advice and guidance to the wider team where needed on compliance queries
• Investigations of complaints
• The approval of Financial Promotions
• Ensuring all records are kept with any incidents about breaches, and act as contact for the Financial Conduct Authority, and other government bodies
• The preparation and executing of the annual Compliance Monitoring Plan
• The support to all areas of the business which will include education and training. Knowledge, skills, and experience required

The successful Candidate will have;

• Strong written and Verbal communication skills
• 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 on time 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 keeping confidentiality

It is essential that those applying offer at least 3 years’ experience working within Financial Services, ideally within Compliance / Q&A or Pensions technical role. You will have a good SIPP / SSAS knowledge and an understanding of regulatory bodies ideally FCA / ICO. Those with an understanding of GDPR / Data protection and knowledge of Consumer Duty are of a high interest

NJR 14816