Coopman Search and Selection | B Corp™
Compliance Manager- Pensions- SIPP & SSAS
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Job Description
We are partnered with a leading compliance and financial crime consultancy business who are looking to bring in an experienced compliance professional on a 12 Month FTC to support their Investments practice on a strong pipeline of work they have across the Pensions space. Given this, they are not looking for individuals with compliance experience in the broader Investments space if they aren't familiar with SIPP and SSAS operators.
Key Responsibilities:
- Keeping up to date with regulatory requirements applicable to the team's client base and ensure timely implementation of changes including updates to policies and procedures.
- Maintaining an up-to-date knowledge and understanding of FCA regulation, including, Suitability, Governance, Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions and Training and Competence and the other areas applicable to primarily SIPP operators and, where relevant, SSAS providers.
- Supporting the Partner and Senior Manager in the delivery of client projects, including oversight, task delegation and quality assurance.
- Undertaking client audits, including reporting and making recommendations to address any areas of concern.
- Strong client relationship and key account management, becoming their trusted advisor.
- Understanding the principles of utilisation, working on client projects as efficiently as possible within the scope provided, whilst being accountable for own time management.
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Experience & Technical Knowledge Required:
- Practical regulatory compliance experience within the SIPP sector, including familiarity with the key regulatory and conduct risks affecting SIPP operators.
- Experience of SSAS arrangements.
- Certificates or Diplomas in financial investments such as the CISI IOC, CISI IAD, PCIAM or equivalent qualification beneficial.
- Excellent communication skills to communicate openly and effectively, both internally and externally, to deliver the requirements of our client firms, with the ability to adapt to different audiences.
- Must be able to work autonomously and take initiative, identifying when referral needs to be made.
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To find out more about the role, please reach out to shane.cassidy@coopman.uk for a confidential discussion.
As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.
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