Our Client is well known throughout Financial Services and IFA Industry. They are now looking to meet with an Experienced Compliance Support Consultant and one who has a strong bias towards Pensions & Pension Transfer Business.
Purpose of the role:
To effectively deliver excellent feedback and guidance to individual advisers through individual file reviews not only on Pensions and Pension Transfers, but a range of other FS Products to review as well. The role can be expanded to include other duties if you are looking for something more than File Review / Compliance Monitoring.
* Review client files, including complex cases, to a high standard and prepare detailed and coherent reports and present appropriate remedial action necessary to comply with FCA Rules & TCF Principles and in doing so provide compliance services to best market standards.
* Actively manage the file review relationship with advisers to ensure excellent customer service.
Experience, Skills & Qualifications Required:
* Sound knowledge and Experience of Reviewing Pensions / Pension Transfer's as well as other FS Products
* Detailed and wide ranging knowledge of the FCA Rules and Principles with a sound technical knowledge
* Good background knowledge of FCA Conduct of Business and advice process requirements.
* Good knowledge of financial services markets, compliance processes and structures.
* Level 4 Diploma in Financial Planning
* G60 and / or AF3 would be ideal
* Recent experience in a similar role.
Excellent Salary & Benefits Package Available!