Pensions Compliance Officer

Recruiter
Paul Sherlock
Location
Huddersfield, West Yorkshire
Salary
c.£42,000 + Benefits
Posted
03 Dec 2018
Closes
02 Jan 2019
Ref
PS/15226
Experience Level
Officer
Contract Type
Full time, Permanent

Our client is a well-known Financial Services business who are currently looking to recruit a Level 4 Diploma and AF7 (or equivalent) Compliance Officer. In this role you will ensure compliant advice is provided to consumers, with a focus on advice deemed to be specialist, complex and/or high-risk to consumers. The role naturally involves supporting other non-specialist review work, as well as regulatory driven projects when required.

Duties:

  • Review client files, including complex cases, with a focus on defined benefit transfers, to a high standard and prepare detailed and coherent reports which present appropriate remedial action as necessary to comply with FCA Rules & TCF Principles.
  • Co-ordinate workloads of the team with colleagues in the absence of the Manager to ensure objectives and priorities are met and ensure team decisions are followed through.
  • Assist the Manager in developing client communication to promote effective and consistent compliance in conjunction with the Compliance Division.
  • Review client firms’ compliance standards against the FCA’s rules and principles, via a remotely delivered health check and provide in depth feedback to collaborate the findings.
  • Awareness of operational and regulatory risk, which may impact the Group. Responsible for reporting to their line manager any risk which may impact on the business.
  • Maintaining accurate information to support workflow and quality assessment management, within SLA’s.
  • Ensuring that all your work is conducted to a high standard and you adhere to business process and competency requirements.
  • Ensuring that all your work remains totally accurate at all times and is properly recorded and reported within the files and databases.
  • Establishing and maintaining effective relations with internal and external Stakeholders.

Requirements:

·         Good background knowledge of FCA Conduct of Business, advice process requirements

and TCF principles.

·         Knowledge of defined benefit transfers and pensions.

·         Good knowledge of financial services and markets.

·         Knowledge of compliance processes and structures.

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