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Pensions Compliance Auditor

Posted 14 December 2017 by Pontoon Easy Apply Ended

Due to expansion of the team an exciting opportunity has arisen for a permanent Pensions Compliance Auditor within the Quality Assurance team .

The role offers a fantastic opportunity to play a key part in the success of the recently established Financial Advice proposition, providing assurance to senior management and other key stakeholders that key controlled functions are being conducted to the required company and regulatory standards, focussing on customer outcome.

The team are multi faceted and currently provide oversight assurance across various aspects of the Retirement Income proposition both on an advised and non-advised basis as well as ad-hoc project work, quarterly reviews and outbound customer insights calls.

Although we are specifically looking for someone to work on the advice process focused on auditing the financial advice given to our customers, flexibility to switch between work streams is crucial as the team covers both advised and non-advised channels.

You are someone who has relevant experience of the recent Pension Reform developments, a background in our retirement income proposition or relevant auditing experience and you have the flexibility and adaptability to complete different roles, such as customer insights, monitoring and audits covering different demands.

There may be a requirement to travel to various locations throughout the country on an occasional basis.

Duties & Responsibilities

  • Monitor the quality of customer interaction that is provided by the advised and non-advised channels by auditing in line with agreed risk based monitoring audit programme, regulatory requirements and in-house guidance.
  • Plan and undertake proactive customer contact within a broader Customer Insights programme. To also include listening to customer contact calls and completing outbound customer contact to provide meaningful insight into customer interaction quality, adherence to process, customer understanding of products recommended and agent competence
  • Contribute to the development of agents in order to support the achievement of business and regulatory targets including the embedding of TCF and other industry initiatives
  • Provide effective feedback, and guidance to the advised and non-advised channels on a range of regulatory and business standards issues.
  • Identify and implement improvements of processes and practices that reduce risk and improve customer outcomes.
  • Investigate and report on specified issues & recommend effective solutions.

Skills & Experience required

  • QCFL4 Diploma in Regulated Financial Planning, or significant progress towards attaining the qualification (in particular RO2 & RO4/RO8 or equivalent) or able to complete within a short timescale.
  • Progress towards or willingness to achieve AF3/AF7 (or equivalent) desirable
  • Knowledge and at least two years relevant, recent experience of the financial services industry.
  • To be fully conversant with Principles relating to TCF and fair value and to implement and embed the guidelines with self and auditing outcomes.
  • Detailed knowledge of the regulatory environment in a range of areas.
  • Ability to show a flexible approach to different work streams.

Please note that anyone who has been interviewed in the past 6 months need not apply.

Bring to us what makes you different and we'll support you to do the best work of your life. We encourage applications from everyone who wants to help us achieve our purpose of helping our customers to Defy Uncertainty.

One of our core values is Care More, and this is brought to life through the flexible ways we like to work. This may include working from home some of the time, or flexible work schedules to accommodate parent and carer responsibilities, further studies and hobbies.

Reference: 34028765

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