We are delighted to be working with one of the UK's leading independent, Defined Benefit Advice specialists who strive to provide exceptional levels of customer service and compliance.
They provide regulated financial advice on pensions valued over £30,000, to help clients with aspects such as transferring their pension, consolidating pensions, pension drawdown; retirement planning or defined benefit (final salary) pensions.
They are looking for an in house compliance adviser to complete file checks on their 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.
Experience Required
Candidates must have experience reviewing DB transfer cases.
Compliance Adviser (Home Based)
We are delighted to be working with one of the UK's leading independent, Defined Benefit Advice specialists who strive to provide exceptional levels of customer service and compliance.
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