Compliance Manager - Glasgow, United Kingdom - IDEX Consulting Ltd
Description
A new role has arisen for a SIPP Technical and Compliance Manager in Glasgow.You must have experience dealing with Pension products and ideally have SIPP experience.
The role involves the following:
- Ensuring the company remains compliant with all relevant regulatory requirements
- Identifying regulatory developments and implementing into business policies and procedures
- Regular reporting to board on all compliance matters
- Chairing regular committee meetings with board members and senior operations staff
- Maintaining compliance manual and all relevant registers, e.g. risk register, breaches, mandatory training and complaint root cause
- Conducting due diligence checks on firms, investments and transfers, in line with regulatory requirements and best practice
- Handling and reviewing complaints, including pensions ombudsman and financial ombudsman service referrals, maintaining complaint procedures and complaint root cause analysis
- Providing compliance and technical support to colleagues and clients
- Maintaining company website and all product literature and reviewing and signing off company communications
- Responding to FCA data requests and consultations
- Signing off investment and property transactions as director of multiple trustee companies
- Conducting due diligence on potential acquisitions
- Consulting with external suppliers and Advisers as necessary
Please note that the information supplied may be retained for up to 3 years for use in connection with future vacancies.
For fullinformation on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.More jobs from IDEX Consulting Ltd
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