Risk & Compliance Senior Associate - #2189665

Risk & Compliance Senior Associate

Role: Risk & Compliance Senior Associate – Interim

Rate: Competitive (subject to experience & interview competencies)

Type: Contract (via umbrella payroll company – Inside IR35)

Location: Bristol, BS1

Hours: 35 hours a week (full-time), Monday to Friday

Hartley Pensions is looking for a Risk & Compliance Senior Associate to play a key role in ensuring the operations comply with all key regulator expectations. This is a hands-on compliance role, and you will partner with key business stakeholders to understand and manage regulatory risk throughout those areas, as well as providing useful advice on best practice on operational workings.

Reporting directly into the Head of Risk and Compliance you will offer support on key themes, ensure good outcomes are delivered and support the role out of new regulatory rules by being hands on and playing a part in building out process and controls to ensure compliance.

This role involves obtaining a detailed understanding of issues and leading on understanding and addressing the issues identified. In doing so, you will ensure the successful delivery of a high-quality service to our members during an important transitional phase for the business.

Who are Hartley Pensions?

Hartley Pensions is a SIPP and SSAS pensions operator based in central Bristol. Since July 2022, the company has been in a trading administration. Under the administration of UHY Hacker Young, Hartley Pensions continues to operate an essential service for clients whilst preparing to transfer members to new UK-based operators and wind down the business.

Role

As Hartley’s Risk & Compliance Senior Associate, you will deliver critical ownership or advisory and oversight functions, ensuring the business is fully supported. As well as guiding the administration functions on policies, process and the relevant controls. Your duties will cover (but are not limited to) the following:

• You will work on remediation projects, overseeing historic issues and lead on the rectification of these. You’ll work with various functions to use your expertise of SIPP regulatory expectations, including HMRC, TPR, DWP & FCA, to address the issues and ensure these are embedded into BAU where applicable.
• Lead on compliance advisory queries. This will involve managing caseloads of your own work whilst being on hand to support the various teams when required.
• Being conscious of deadlines and business priority needs and oversee their timely and effective completion. Where necessary, you may be asked to structure training and development plans, providing constructive pathways to individual members. It is therefore vital that you can foster a supportive and positive culture for your department and be a welcoming source of guidance.
• Perform detailed due diligence and gap analysis and remediation plans in line with the relevant regulatory guidelines. Where necessary, report to senior management on compliance matters.
• Assist with the Head of Risk & Compliance and the roll out of a RCSA process, ensuring the business owns and reports on its own risks, challenging and supporting the functions where required.
• Support on engagement with regulators, including FCA ad hoc requests, and HMRC regular returns.

About You

It is essential that you can handle a complex and diverse workloads.

• Prior experience in SIPP is mandatory and should be reflected on your CV. This is not an entry-level position and whilst we provide training and upskilling to staff, you are fully expected to hit the ground running.
• You must have demonstrable experience in a SIPP and/or SSAS administrator role. You will be a specialist who will be depended upon by colleagues of varying knowledge and experience across the business. Therefore, you must be emotionally perceptive of individual ability and provide catered guidance to each member accordingly.
• Experience in a compliance role is not a pre-requisite, experience in a regulatory role is. This role is technical in nature, and you will be able to understand complex regulatory expectations.
• Strong understanding of the structure of pensions schemes and the underlying assets owned.
• Experience of HMRC pensions online, and reporting is ideal.
• Have a decent level of knowledge around up-to-date pension laws and tax regulations.
• You must have a decent level of communication skills. It is highly important that as a representative of the firm, you can effectively communicate technical pension information into lay terms to clients, members of your team and all relevant stakeholders. Your ability to communicate must crucially concern the ability to cater your tone to one of empathy and assurance.

Qualifications

Although experience is more valued for this position, we do favour applicants who hold the following qualifications:

• Certificate in Pensions Administration (CPA)
• Retirement Provision Certificate (RPC)
• Advanced Diploma in Retirement Provision (ADRP)
• Level 4 Diploma in Regulated Financial Planning
• Award in Financial Administration (RQF Level 3)

In addition to holding a relevant pensions qualification, it is preferred that candidates hold a degree with a minimum of a 2-1 or above (in any subject).

What we offer

• A highly competitive rate: We pay within the top 10% of employers in the industry.
• Meaningful impact: A rare opportunity to play a leading part in assisting a business through a crucial transitional period.
• Hybrid working: We allow hybrid options (up to 2 days from home a week) after successful completion of training period and where business needs permit.

Recruitment Process

Hartley Pensions follow a two-stage recruitment process.

1. A 30-minute screening call.
2. A 90-minute interview with competency-based questions.

At Hartley pensions diversity is important to us. Growing, maintaining and promoting a diverse team is a top priority for us. We actively encourage individuals from all backgrounds, experiences, and perspectives to apply. Join us in creating a workplace where everyone feels valued, respected, and empowered to thrive.

Website

To find out more about Hartley Pensions, please visit:

https://www.uhy-uk.com/hartley-pensions-limited-administration

*** Please note, we have been in a trading administration since July 2022. This means that we cannot provide sponsorship to applicants at this time.