Our client is a very successful and long standing financial planning and investment management firm based near Ellesmere Port, they are currently recruiting for an experienced Compliance File Checker to join their Compliance Team.
Main duties include:
- Reviewing advice, in particular (but not exclusively) on pension transfers and other pensions with safeguarded benefits:
- Accurately assess the suitability of advice
- Assess the accuracy and adequacy of the file documentation, ensuring it is completed in line with the firm’s requirements
- Assessing and grading cases
- Providing clear, accurate and constructive feedback to the adviser
- Discussing cases with advisers/compliance colleagues
- Ensuring completion by the adviser of any remedial action by the adviser within acceptable timeframes
- Identifying any inconsistencies/errors and escalate them accordingly to the Compliance Manager
- Complete all file checks within specified timeframes
- Documenting outcomes and providing management information to the Compliance Manager
- Working closely with compliance team and provide support where required.
- Maintaining knowledge of the compliance procedures and relevant Regulatory Rules.
- Maintaining the technical knowledge necessary to assess the suitability of advice across the range of products and services offered by the business.
- Ability to identify and report potential cases of financial crime
- To maintain records to the standards necessary to demonstrate Adviser and departmental performance
- Other ad hoc duties as required
If you are an experienced Pensions File Checker or Compliance Manager please apply today and one of our consultants will be in touch.
Should your application be successful we will contact you to discuss the role in more detail within 2 working days of receiving your application. In the event your application is unsuccessful, the information supplied may still be used in connection with future job opportunities. Due to the large number of applications we receive, should you not hear from us within one week then please assume your application has been unsuccessful however we may contact you regarding other roles in the future.