UA-185291695-1 Compliance Monitoring Officer, Jobs, 289

Compliance Monitoring Officer

Pensions Compliance Manager - Manchester, North West England

Ref: 289Tuesday 30 November 2021

£35,000 - £40,000

We are looking to recruit a Compliance professional for a leading Pension provider in Manchester.

You will play a pivotal role within the organisation, providing a key point of contact for policy owners, stakeholders, and members of the Senior Management Team.  The post holder will act with integrity, tact, giving due consideration to the issues at hand, acting openly and fairly at all times providing clear support, guidance and direction as needed.

 

Responsibilities:

 

The Compliance Monitoring Officer will ensure that all key tasks as detailed in the Compliance Monitoring Plan are completed diligently, impartially and in a timely fashion.  Work with policy owners so as to ensure that all policies and procedures are not only up to date but in keeping with regulatory expectations.

You will be required to provide advice, guidance and support to the wider business together with the preparation of relevant management information for departmental and Board reporting purposes.

You will support both the Compliance Director and Manager in any thematic risk reviews as required from time to time.

Assisting the Compliance Manager in ensuring the appropriateness of the Company’s overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company’s business plan.

Taking main responsibility for the delivery of the Company’s File Review Programme including all aspects of the work implicit in that Programme including but not limited to Client On-boarding, Communication, and ensuring the Suitability of Pension Transfers recommendations and any Investment Schemes.

Undertaking or assisting in other Compliance Reviews and Monitoring activities in accordance with the timetable set out in the Compliance Monitoring Programme.

 

To be considered:

 

Experience in a  similar  (compliance/audit)  role gained within the  Financial  Services  Industry,  preferably in the  Financial Adviser / Pensions Transfers sector.

Relevant professional qualifications,  preferably including an appropriate qualification relating to Pension Transfers (e.g. CII Certificate in  Pension  Transfer  Advice,  Diploma in  Financial Planning + AF7 Pension Transfers, G60 paper of the Advanced Financial Planning Certificate).