Specialist Compliance Officer - West Yorkshire / Leeds

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!

Required skills

  • Compliance
  • Defined Benefit
  • Feedback
  • Pensions
  • Reviewing

Application questions

Are you a UK / EU Passport Holder?
Do you have the required Compliance Experience?
Are you Level 4 Diploma Qualified and hold the relevant Pension Transfer Qualifications?
Do you have any IFA Compliance Experience?

Reference: 36953365

Bank or payment details should not be provided when applying for a job. reed.co.uk is not responsible for any external website content. All applications should be made via the 'Apply now' button.

Report this job