Compliance Officer (Pensions)

  • Job Reference: 941790516-2
  • Date Posted: 11 March 2023
  • Recruiter: Front Row Recruitment
  • Location: Horsham, Sussex
  • Salary: £40,000 to £48,000
  • Bonus/Benefits: plus excellent benefits
  • Sector: Accounting
  • Job Type: Permanent

Job Description

Due to an internal relocation my client, a leading financial services organisation, currently seek an experienced Compliance Officer with a background in pensions and investments (ideally SIPP and ISA). Duties will include:

  • Regulatory monitoring focussing on FCA regulations and client outcomes
  • Working closely with the Compliance Manager to track and monitor the compliance programme
  • Undertake analysis to identify areas of shortfall and risk and provide input in order to mitigate future issues
  • Deliver a range of reports summarising finding and identifying weaknesses in processes and procedures
  • Ensure that breaches / complaints are dealt with effectively and that all relevant information is fully documented and recorded
  • Track and report regarding remedial actions
  • Maintain CPD records
  • Generate MI reports for senior management review

Applicants must possess pensions experience, particularly SIPP, along with proven experience in the compliance / monitoring field. Strong communication and decision making skills are a pre-requisite along with a good understanding of FCA rules and regulations pertaining to the pension and investment arena.

This is a great opportunity to join a leading UK financial services organisation in a key role within their compliance function. A generous remuneration and benefits package are on offer along with hybrid working and fantastic offices.