Pensions Compliance Officer

Paul Sherlock
Huddersfield, West Yorkshire
c.£42,000 + Benefits
03 Dec 2018
02 Jan 2019
Experience Level
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.


  • 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.


·         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.

Apply for Pensions Compliance Officer

Already uploaded your CV? Sign in to apply instantly


Upload from your computer

Or import from cloud storage

Your CV must be a .doc, .pdf, .docx, .rtf, and no bigger than 1MB

4000 characters left

Marketing Communication

We'd love to send you information about Jobs and Services from Jobs In Risk by email.

All emails will contain a link in the footer to enable you to unsubscribe at any time.

When you apply for a job we will send your application to the named recruiter, who may contact you. By applying for a job listed on Jobs In Risk you agree to our terms and conditions and privacy policy. You should never be required to provide bank account details. If you are, please email us.

Similar jobs

Similar jobs