Our Client is well known and operates within the Financial Services/IFA Market. They are now looking to meet with an Experienced Compliance Professional and one who has Experience of Reviewing and Signing Off New & Specialist Business Written.
There is an Opportunity to work from home on some days of the week with this role!
Purpose Of The Role:
To ensure compliant advice is provided to consumers, with a focus on advice deemed to be specialist, complex and/or high-risk to consumers. The role naturally involves supporting other non-specialist review work, as well as regulatory driven projects when required.
- Review client files, including complex cases, with a focus on defined benefit transfers, to a high standard and prepare detailed and coherent reports which present appropriate remedial action as necessary to comply with FCA Rules & TCF Principles.
- Co-ordinate workloads of the team with colleagues in the absence of the Manager to ensure objectives and priorities are met and ensure team decisions are followed through.
- Assist the Manager in developing client communication to promote effective and consistent compliance in conjunction with the Compliance Division.
- Review our client firms’ compliance standards against the FCA’s rules and principles, via a remotely delivered health check and provide in depth feedback to collaborate the findings.
- Awareness of operational and regulatory risk, which may impact The Group.
- Responsible for reporting to their line manager any risk which may impact on the business.
Knowledge/Experience & Qualifications Required:
* Must be at least Level 4 Diploma Qualified (Financial Services) which will also include include a Pension Qualification, such as AF3 / AF7 (or equivalent)
* Experience of working within a pensions environment, including defined benefit transfers.
* Experience of working in a compliance environment
* Experience of advice review checking pension advice
* Must have current or very recent experience of file assessment ideally within an IFA environment
* Ability to provide constructive feedback to IFAs and colleagues
There is also a Good Salary & Benefits Package Available!
- Defined Benefit
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