The Profile:
An opportunity exists to join the Compliance Advisory Team of a highly reputable financial services organisation based in Peterborough. This role will focus on providing support to the Head of Defined Contributions Compliance to ensure that, as new products and processes are developed, the business will remain compliant with law and regulation. A solid technical understanding of Defined Contributions is essential and used to working in a compliance environment.
An opportunity exists to join the Compliance Advisory Team of a highly reputable financial services organisation based in Peterborough. This role will focus on providing support to the Head of Defined Contributions Compliance to ensure that, as new products and processes are developed, the business will remain compliant with law and regulation. A solid technical understanding of Defined Contributions is essential and used to working in a compliance environment.
The Duties:
• Helping the Defined Contributions business to maintain compliant systems and processes that accommodate new products and services or changes to existing products and services, arising out of new regulations or business strategy
• Reviewing client communications and marketing material, including financial promotions for technical accuracy and compliance with FSA requirements
• Resolving any complaints made under the FSAs complaint handling procedures and assisting trustees in resolving complaints made under their Internal Dispute Resolution Procedures
• Taking responsibility for timely submission of a range of regulatory returns, required by FSA, HMRC and the Pensions regulator are submitted on time.
• Preparing and maintaining a register of legal agreements to ensure that the terms offered to each client can be readily identified.
• Assisting in framing responses to consultation documents
• Provide support to senior leads on specified compliance projects and initiatives, including for example new regulations, for instance, automatic enrolment, solvency II etc. Active participation in working party groups set up to facilitate the implementation of the strategic initiatives and other business developments.
• Provide proactive advice to issues raised by the business on compliance and technical issues
• Assist in communicating compliance issues to the business
• Working on new product initiatives and other important business projects providing timely advice on compliance matters.
• Helping the Defined Contributions business to maintain compliant systems and processes that accommodate new products and services or changes to existing products and services, arising out of new regulations or business strategy
• Reviewing client communications and marketing material, including financial promotions for technical accuracy and compliance with FSA requirements
• Resolving any complaints made under the FSAs complaint handling procedures and assisting trustees in resolving complaints made under their Internal Dispute Resolution Procedures
• Taking responsibility for timely submission of a range of regulatory returns, required by FSA, HMRC and the Pensions regulator are submitted on time.
• Preparing and maintaining a register of legal agreements to ensure that the terms offered to each client can be readily identified.
• Assisting in framing responses to consultation documents
• Provide support to senior leads on specified compliance projects and initiatives, including for example new regulations, for instance, automatic enrolment, solvency II etc. Active participation in working party groups set up to facilitate the implementation of the strategic initiatives and other business developments.
• Provide proactive advice to issues raised by the business on compliance and technical issues
• Assist in communicating compliance issues to the business
• Working on new product initiatives and other important business projects providing timely advice on compliance matters.
The Person:
• Used to working in a Defined Contributions technical and/or compliance environment
• A strong working knowledge of pension processes, regulation and legislation
• Enjoys working in a fast-paced, high-intensity environment and willingness to work hard to meet varying levels of deliverables
• Excellent analytical and communication skills
• Act with the highest integrity and professionalism in all their endeavours
• Think creatively
• Express a strong desire to work in a team
• Respond effectively to management direction and clients’ needs
• Demonstrate the ability and initiative to handle increasing responsibility over time
• An entrepreneurial spirit that is willing to take on additional responsibility quickly
• Used to working in a Defined Contributions technical and/or compliance environment
• A strong working knowledge of pension processes, regulation and legislation
• Enjoys working in a fast-paced, high-intensity environment and willingness to work hard to meet varying levels of deliverables
• Excellent analytical and communication skills
• Act with the highest integrity and professionalism in all their endeavours
• Think creatively
• Express a strong desire to work in a team
• Respond effectively to management direction and clients’ needs
• Demonstrate the ability and initiative to handle increasing responsibility over time
• An entrepreneurial spirit that is willing to take on additional responsibility quickly
To apply for this position, please click here.
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