Senior Compliance Manager SIPPs

Senior Compliance Manager – SIPPs

Stirling, Scotland, United Kingdom – 2–3 days onsite, 3–6 month contract. Day rate contract.

Experienced senior SIPP / pensions compliance contractor needed to provide compliance support within a financial planning business.

Key responsibilities:

• BAU compliance oversight across SIPP and pensions
• Regulatory change, Consumer Duty and product governance
• FCA engagement, regulatory reporting and information requests
• Risk register management, capital adequacy, and board papers
• Review of member-facing materials and compliance documentation
• AML / Financial Crime input, adviser and investment due diligence
• Acting as Vulnerable Client Champion
• Liaison with second and third line on monitoring, audit, SMCR and complaints

Key requirements:

• Strong SIPP / pensions compliance background from financial planning / SIPP / wealth management businesses
• Technical FCA knowledge, including COBS
• Broad AML / Financial Crime understanding
• Able to operate autonomously and deliver straight away

Interested?

If you’re available on short notice and this aligns with your experience, please apply here.