The role will work with the company financial planners, paraplanners and colleagues within the compliance function to ensure financial planners provide the highest possible standards of advice and service to clients, understand and meet their regulatory responsibilities and adhere to group policies and procedures.
Key responsibilities include:
- Undertake post sale file reviews, pre-sale report reviews, review pre-approval requests and assist with thematic reviews and due diligence projects.
- Contribute to compliance projects as and when required
- Identify planner training needs from file review findings.
- Promote the company’s compliance culture, policies and procedures
- Provide the T+C Team with reports on planners as required
- Attend compliance team meetings
- Focussed work on DB pre and post-sale file reviews.
- Focussed work on DB for Due Diligence checks
- Contribute to the development and implementation of Compliance Policy as required
- Develop positive working relationships based on professional standards, mutual respect and empathy, with key internal stakeholders, e.g. planners, paraplanners, admin, sales support
- Appropriate Pension Specialist Qualification (eg G60, AF3 or AF7)
- Proven experience of performing a Business Quality role in a retail intermediary business
- Direct experience of DB transfer sign-off and reviews
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.