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.
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