IFA Compliance Monitoring Officer – South Manchester

CRS (Compliance Resource Solutions Ltd)
June 7, 2018
Job Type
Secondary Category
Financial Services - Paraplanning
Min. Experience
1- 2 years
Min. Qualifications
38000-40000 Per Annum Excellent Salary & Benefits Package
Willing to Relocate


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!

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