Job Description
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 / w...