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...

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