Regulatory Compliance Manager – Pensions

A Regulatory Compliance Manager is required by a highly successful investment management firm to assist the Head of Compliance in ensuring the company is complying with all relevant legislative and regulatory standards. The role is based in Rochester.

The responsibilities of the role will include

• Keeping up to date with relevant laws, regulations, and industry/FCA guidance and practice
• Monitoring the company’s compliance with laws, regulations and its policies
• Overseeing and managing the regulatory team
• Overseeing the creation, development and maintenance of compliance policies, procedures and registers
• Overseeing thematic reviews and internal audits of company processes and compliance policies
• Assisting with and overseeing company compliance training
• Overseeing completion of regulatory reporting
• Assisting the Head of Compliance with any projects or tasks
• Producing a monthly report for the Head of Compliance
• Studying towards completing CII qualifications

You will have a strong working knowledge of pensions (DB or DC) and a good understanding of relevant regulations and legislation. Previous experience in a dedicated Compliance role would be advantageous although candidates with advisory, paraplanning or administrative backgrounds keen to embark upon a career in Compliance are also encouraged to apply. You will have achieved your CII Level 4 Diploma (or equivalent) or will be working towards such a qualification (and have the desire to complete the qualification). You will need a high level of attention to detail as well as excellent communication and interpersonal skills.


Salary:£30k - £45k + benefits


All Images And Content Copywright Willow Resourcing Ltd © 2021
Registered Company In England & Wales | Company No: 07881973

Willow Resourcing, 2nd Floor, 3 Brindley Place, Birmingham, B1 2JB.