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Compliance/Internal Audit (Assurance) – Financial Services

Job Description

I’m looking for a Compliance Manager to join a compliance function in a risk, compliance and technology department of a ‘leading’ if not ‘lead’ pension financial services firm.

This is an excellent opportunity for a Compliance Manager to join a talented team, and manage the second line control and assurance framework. 

The Company

Forget the image of ‘dusty’ pensions; this is the company who are at the very forefront of the pension world – highly innovative ecommerce environment. Based in Central London they offer a fast moving, supportive, ever changing environment where people are truly valued and genuinely excited to be part of what they’re doing.

The Role

Working as part of the Compliance Assurance Team the Compliance Manager (Assurance) will work with the other team members and with colleagues across the organisation to deliver compliance monitoring reports, the schemes external assurance reports and any other assurance monitoring activity as directed by management.

Day to day:

  • Investigate operational processes and reporting.
  • Assist with tracking and resolution of actions as identified as part of the monitoring activity
  • Assist in the development of controls in respect of AAF 02/07
  • Work with and collaborating with colleagues up to ‘executive’ level and in additional may involve some internal interaction with the Pensions Regulator

About You

I’m looking for a Compliance Manager who has gained some technical expertise in investigating financial services operational processes and reporting.  You would have gained experience of control reporting in an internal audit/compliance monitoring environment.  A nice to have would be ‘technical’ expertise in relation to occupational defined contribution pensions schemes and TPR reporting regimes.   You will be confident liaising with senior personnel across the organisation and sometimes with external stakeholders as well.

You’ll enjoy working under your own ‘steam’ or with a team and have an innate ability to analyse complex situations from multiple data inputs and have an intellectual ability to understand and thoroughly investigate an issue. 

Press the ‘Apply’ button now they’re keen to start interviewing and this role would really add to your compliance career.