COMPLIANCE MANAGER.

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Role: COMPLIANCE MANAGER.

Sector: Pension Administration

Location: Leeds (Hybrid working - 2 days p/w in the office)

Salary: c£60k

My client is seeking a seasoned Compliance Manager, preferably with experience of Pension Administration and The Pensions Regulator (TPR). The role will involve:

• Development and maintenance of the firm's Compliance framework, including but not limited to: policy documentation, the compliance monitoring methodology and framework, horizon scanning, reporting and output.
• Ensure that the management of the firm is aware of its responsibilities
• and obligations in conducting business in conformity with rules and
• regulations so as to maintain the firm’s reputation. 
• Support the design and delivery of the firm's regulatory Training and Competency Scheme with key focus on data protection and pensions knowledge and awareness.
• Design and delivery of the organisations Compliance Monitoring Programme including; scoping, testing, documenting and reporting, and
• tracking the completion of agreed actions arising from issues identified.
• Responsibility for the production and presentation of compliance reporting to appropriate governance forums,
• Design and delivery of the organisation’s ‘horizon’ monitoring of regulatory
• change and aiding the firm’s understanding and compliance status.
• Design and delivery of the organisation’s regulatory consultation responses,
• Working proactively with other teams to ensure that key compliance risks are understood and subjected to appropriate oversight.
• To provide technical support on matters relating to legal and regulatory
• compliance,
• Supporting the development of current and new products,
• To act as a key liaison officer with the firm's regulators.
• To oversee and complete the preparation of reports for key regulator
• relationships, including The Pension Regulator, FCA, and ICO.

Role: MANAGING DIRECTOR.

Sector: Pension Administration

Location: BRISTOL (Remote/ Hybrid working)

Salary: c.£120k

My client is seeking a seasoned Managing Director/ Head of Operations, with a strong background in business operations and growth. 

The role will require:

• A strong track record in strategic management
• Strong Operations experience
• Experience with a Pension Provider (SIPP and SAS) and Pension Administration would be advantageous.

You will get:

A very competitive salary and package

Role: DIRECTOR OF RISK AND COMPLIANCE.

Sector: LENDING

Location: LONDON (HYBRID)

Salary: c.£170K

My client is an industry leader in providing alternative, affordable personal loans. The firm are growing and adapting quickly; with over 20 years of operation nationwide. 

The Role: 

Reporting to the CEO, this board level position will ensure the firm remains fully compliant with all statutory and regulatory obligations through active management of all aspects of compliance. 

In addition, this position is responsible for the development of responses to new regulatory environments and the supervision of their impact on the firm’s products, customers and operational policies and procedures. 

Responsibilities include, but are not limited to: 

• Assisting the business in meeting its regulatory obligations and providing regulatory advice regarding business activities. 
• Managing the business' day-to-day compliance and financial crime prevention needs of the business. 
• Supervising the compliance team. 
• Overseeing compliance monitoring activities and policies (planning, reporting, action planning, record-keeping, fraud reporting, etc.). 
• Ensuring regulatory compliance is embedded in the company’s culture. 
• Providing in-depth advice on the FCA rules and guidance as required in connection with regulated activities. 
• Reviewing risk events and ensuring the company does not breach any regulatory requirements. 
• Reviewing audit findings and evaluating corrective actions. 
• Acting as a custodian in keeping records of all correspondence and regulatory reports with the FCA, FOS, and ICO as appropriate.