Compliance Manager - West Sussex

Coast Specialist Recruitment
Horsham, UK
11 Jul 2019
31 Jul 2019
Contract Type
Full Time
A large Financial servicing company based in West Sussex has an exciting opportunity for an experience Compliance Manager who has strong technical knowledge both in DB and DC Schemes.

This is a great time to join a highly established but still growing organisation.

As part of the management team the Compliance Manager will take responsibility for all HMRC liaison, ensure processes implemented adhere to regulatory and business requirements, provide pensions technical support to the operations team, lead regulatory research and forecasting as well as reporting to regulators.

The Compliance Manager will be the subject matter expert on pension products, regulation and legislation.

Key responsibilities:
  • Acting CF10, 10a & 11 with oversight of the Compliance Function and acting MLRO.
  • Building extensive knowledge of all areas of the new company and the technology integrations and interfaces. Applying of a risk-based and common-sense approach to the compliance monitoring process.
  • Management of technical and regulatory requirements against control frameworks, identifying and providing analysis of potential risks to the business.
  • Consider and develop the internal monitoring structure and effectiveness of controls.
  • Supporting operations as the primary point of contact for internal technical queries, identifying and closing knowledge gaps within teams.
  • Managing technical escalations through to resolution, raising to Senior Management or Compliance where necessary for additional considerations.
  • Collating and feeding back trends in technical queries and exceptions to help facilitate service and operational improvements.
  • Primary liaision with HMRC, including but not limited to managing the registration of new pension schemes and relief at source claims.
  • Extracting and coordinating data for reporting or requests from HMRC or regulators.

Skills and experience required for this role:
  • Excellent technical knowledge, both DB and DC schemes, with 5+ years experience in a pensions specialist, governance or compliance capacity.
  • Up to date Pension legislation knowledge and a strong understanding of applicable HMRC, FCA and TPR regulations including their interpretation and application.
  • 10+ years experience in regulated financial services, including exposure to Platform administration
  • Exceptionally well organised and self-motivated, working on initiative and as a team player.
  • Proven analytical and problem-solving capabilities, ability to identify business risks within the detail.
  • Proven adaptability and decision making capabilities.
  • Demonstrable leadership skills, unrelenting in the quest for compliant excellence.
  • Passion for learning and imparting valuable information to colleagues.
  • Excellent written and verbal communication abilities - an articulate, concise communicator.
  • Proficient user of MS Office applications.
  • Ability to effectively manage and prioritise multiple tasks and projects simultaneously.

This role will offer a competitive salary and benefits package. For further information please contact Ella Britton

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