Compliance Integration Manager - Pension

£60000 - £70000 per annum
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PAUL GEIST

Compliance Integration Manager is part of the team that are designing the new framework. This role will report into the Director of Service Design and the Director of Compliance.

Deliverables:

  • Have accountability for the definition, translation and embedding of regulatory risk appetite and culture to the programme so that it can be applied to the design of processes and compliance management controls, including financial crime, information security and data protection with reference to subject matter experts within the business
  • Ensure that design decisions have understood and applied the regulatory requirements and apply the decision making and escalation protocols that provides approval of decisions within the parameters of risk appetite and contractual provisions
  • In conjunction with the provider, design and create a framework for oversight of the compliant delivery of the outsourced services by the provider that is within regulatory and compliance risk appetite
  • Provide requirements to the Risk Integration Manager to enable the testing of key controls
  • Communicate the approach to the management of regulatory risk to the operational teams which will be overseeing the delivery of services with the provider during and post integration
  • Maintain a detailed knowledge of the applicable regulatory requirements and compliance framework in order to lead and conclude design and option discussions concerning the development of the provider’s approach to compliance procedures and controls
  • Identify and contribute to the workstream’s delivery risks
  • Work closly with other second line functions in order to facilitiate the setting of appropriate compliance assurance plans.
  • Design and create a framework for oversight of the compliant delivery of the outsourced services by the provider that is within the risk appetite
  • Design an approach to the oversight of the design and delivery of regulatory requirements that ensures all regulatory requirements are considered and covered.
  • Ensure that design decisions have understood and applied the regulatory requirements and apply the decision making and escalation protocols that provides approval of decisions within the parameters of risk appetite and contractual provisions
  • Execute the approach throughout the implementation phase so that the provider’s approach to the design of processes and controls is aligned to the firms requirements
  • Provide regular summary papers to programme board on progress
  • Design an escalation process for the resolution of annomollies and disputes regarding regulatory interpretation or application to be made within the programme, within the programme’s existing decision making processes; provide papers for governance and decision making for escalated topics
  • Training for operational teams on the interpretation and application of the oversight framework during and post integration
  • Input into the control validations of key processes carried out by the Risk Integration Manager and approve the provider’s documentation of control validation processes
  • Provision of regulatory interpretation to the programme including, but not limited to the interpretation and resolution of pensions legislation including application of guidance, intrepretation of provisions and implementation of reporting and notification requirements.
  • The role will spend time with the 2nd line compliance assurance team to ensure consistency of style and approach and keep 2nd compliance assurance team informed
  • The role will involve working and collaborating with colleagues and third parties at a senior level
  • The role will also interact with supplier compliance teams and wider programme
  • The role requires that the individual be comfortable with working on their own and delivering work within specific deadlines.


Experience and technical skills:

  • Experience of desiging framework for oversight of outsourced activities from a compliance perspective
  • Significant track record of delivering pragmatic business focused advice in a large scale pension environment
  • Technical expertise in relation to trust based defined contribution occupational pension schemes
  • Significant experience of the legislative provisions of the automatic enrolment regime and their practical application
  • Excellent knowledge and understanding of HMRC and TPR requirements, regulatory codes of practice and guidance
  • Experience of delivering programmes and projects linked to process improvment
  • Engage and influence at an executive and senior management level, manage stakeholders including negotiating and collaboration
  • Ability to communicate concepts clearly and apply decisions into workable processes.

Qualifications:

  • The following professional qualifications, or progress towards them, would be desirable:
  • APMI, ACII or FIA
  • Other pensions-related qualifications such as the PMI’s automatic enrolment or DC Governance qualifications would be useful
  • Experience working in, or advising on, master trust pension schemes may would be useful.



McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

 

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