Compliance Manager (Pensions) - Manchester
Salary £40,000 - £60,000 per annum
Consultant Richard Ryan
Date posted 03 September 20192019-09-03 2019-11-02 financial-services Manchester Greater Manchester GB M3 3HF GBP 40000 60000 60000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
A leading financial services organisation is currently seeking a Compliance Manager to join its operations in the North West. Reporting into the Compliance Director, the purpose of the role will be to manage regulatory risk through both advisory and monitoring responsibilties within a pensions environment.
Key duties include:
- Providing day-to-day support and assistance to the CF10/SMF16 and carrying out all of the aspects of that role in the absence of the Compliance Director.
- Training, development and mentoring of the Risk and Compliance Analyst and the Compliance Monitoring Analyst.
- Representing the Compliance Function at Executive Management Group Level.
- Ensuring the appropriateness of the Company’s overall Compliance Monitoring Programme
- Delivery of the Company’s File Review Programme.
- Analysing data and MI from the first and second lines of defence in order to identify areas of risk or compliance concern.
- Undertaking research on regulatory developments applicable to the business
- Complaints Handling.
- Acting as the Deputy Money Laundering Reporting Officer, providing day-to-day support and assistance to the CF11/SMF17.
The successful candidate will have/be:
- Senior compliance professional with a background in the pensions transfers/ Financial Advisor sector
- Ideally relevant professional qualifications or equivalent e.g. CII Certificate in Pension Transfer Advice, Diploma in Financial Planning + AF7 Pension
- Attention to detail with an ability to analyse complex financial information and provide credible challenge to the Company’s directors, managers and financial advisers.
- Ability to build and maintain relationships at all levels of the business to drive change and deliver the Company’s aim of “continuous improvement”.
- A high standard of communication skills including formal report writing.
- Detailed knowledge of the FCA handbook with a detailed understanding of the requirements relating to Pension Transfers Business.
- Awareness of risk management practices.
- High level of IT literacy and Microsoft Office packages in particular Excel.
- Transfers, G60 paper of the Advanced Financial Planning Certificate).
This is a fantastic opportunity to be part of a rapidly growing business with excellent long term career prospects. Please apply with an updated copy of your CV as applications for this role will close shortly.