IFA Compliance Monitoring Officer - Greater Manchester

Recruiter
Anonymous
Location
Lancashire
Salary
38000.00 - 40000.00 GBP Annual + GBP38000 - GBP40000/annum Excellent Salary & Benefits Pkg
Posted
09 Oct 2017
Closes
06 Nov 2017
Category
Accounting
Function
Consultant
Contract Type
Permanent
Hours
Full Time
Our Client is well known throughout Financial Services and IFA Industry. They are now looking to meet with an Experienced Compliance Support Consultant and one who has a strong bias towards Pensions & Pension Transfer Business.

Purpose of the role:

To effectively deliver excellent feedback and guidance to individual advisers through individual file reviews not only on Pensions and Pension Transfers, but a range of other FS Products to review as well. The role can be expanded to include other duties if you are looking for something more than File Review / Compliance Monitoring.

Responsibilities:

* Review client files, including complex cases, to a high standard and prepare detailed and coherent reports and present appropriate remedial action necessary to comply with FCA Rules & TCF Principles and in doing so provide compliance services to best market standards.
* Actively manage the file review relationship with advisers to ensure excellent customer service.

Experience, Skills & Qualifications Required:

* Sound knowledge and Experience of Reviewing Pensions / Pension Transfer's as well as other FS Products
* Detailed and wide ranging knowledge of the FCA Rules and Principles with a sound technical knowledge
* Good background knowledge of FCA Conduct of Business and advice process requirements.
* Good knowledge of financial services markets, compliance processes and structures.
* Level 4 Diploma in Financial Planning
* G60, RO8 and / or AF3 would be ideal
* Recent experience in a similar role.

Excellent Salary & Benefits Package Available