Compliance Assistant - Pensions

Reed Insurance
12 Mar 2018
10 Apr 2018
Contract Type
Full Time
My client a leading Corporate Pensions and SIPP Company are actively looking to recruit a skilled Compliance Assistant to join their successful team in MIlton Keynes. This role will be working within the Compliance and Regulatory side of the business to ensure the company attains high standards of regulatory compliance by providing a practical, efficient and business friendly compliance solution. The company rewards talent and you will be recognised for your skills and exposure.

The main duties of the role will be as follows:-

The role holder will have access rights to the relevant systems and staff members, including any records necessary to allow the role holder to carry out their responsibilities. The role holder is responsible for handling this and any other data appropriately and confidentially, at all times.


1. Support the Compliance and Technical team in developing and promoting a strong compliance culture within the business.

2. Provide assistance and guidance on compliance related queries from the firm.

3. Assist in the development of the Compliance Monitoring Programme.

4. Work with the Compliance team to ensure the firm’s systems and controls are robust, support the immediate and future business plans and adhere to regulatory requirements.

5. Identify systems, procedures and control improvements.

6. Ensure current system and controls are effective and embedded within the firm.

7. Assist with the maintenance of compliance policies and procedures.

8. Maintain relevant compliance registers, including the breaches register, higher risk client register, complaints register, gift register etc.

9. Undertake files reviews as instructed by the Compliance Manager and liaise with the Compliance Manager to address any issues identified.

10. Produce compliance related management information, as required.

11. Prepare DPA information packs.

12. Complete complaint investigation records.

13. Manage AML documents.

14. Assist with audits.

15. Provide support and assistance to any ad hoc compliance projects as appropriate.

16. Escalate any issues, risks or concerns to the Compliance Manager as appropriate in a timely manner.

17. Keep abreast of key business, regulatory and industry developments.

To be considered you must be able to demonstrate the following:-

- A background within Compliance preferably within Pensions and Financial Services
- Educated to advanced level and preferably hold a degree or relevant professional - qualification
- Good pension knowledge is desirable
- Solid knowledge of UK regulation is desirable
- Experience of working in Financial Services is desirable

Reed Specialist Recruitment Limited is an employment agency and employment business

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