Compliance Officer

Job Description

Our client, a well established and growing financial planning  firm help people across the UK improve or access their private pensions with solutions that are tailored to an individuals requirements.

They also provide regulated financial advice on pensions to assist with aspects such as transfers, consolidating pensions, pension drawdown; retirement planning or defined benefit (final salary) pensions.

They are looking for a Compliance Adviser to complete file checks on a growing number of DB transfer cases. As part of an expanding team you will have the opportunity to not only be involved with the day to day function of the business, but also have an input into the growth and shape of the in house compliance team.

 

Main Duties:

  • Check suitability reports for DB Transfer cases to ensure compliance with FCA Conduct of Business Requirements
  • To ensure that advice files are Compliant with the firm’s standards and FCA rules
  • To assess the accuracy, completeness and suitability of cases submitted by advisers thus ensuring compliance with regulatory guidance, rules and adherence to Group Procedures and recording data on the appropriate databases.
  • Chase outstanding information from advisers, where appropriate on a regular basis to ensure TCF principles are adhered to.
  • To deal with technical queries from advisers.
  • To review files relating to Pension Transfer where the appropriate qualification is held.
  • To undertake any regulatory reviews and other tasks including project work, where required, by management.

Job requirements

Candidates must have experience reviewing DB transfer cases.