A hugely successful and growing wealth management company is seeking a qualified Pensions compliance specialist to join their team.
You will hold the Level 4 Diploma in Financial Planning as well as a recognised Occupations Pension Qualification (G60, AF3, AF7 or equivalent). You will have detailed knowledge of FCA rules applying to Occupational Pensions products and experience working within a compliance/file review role.
Key activities and responsibilities includes:
* Keep up-to-date with regulatory and industry developments, sharing information of relevant upcoming changes * Provide evaluation reports to the Compliance Manager * Assist with documenting new procedures and policies * Liaise effectively with the supervisors and senior management in respect of regulatory and Network issues for Pensions and Occupational Pensions * Manage the pre-approval of Occupational Pension Transfer Business (PTS) * Manage and conduct comprehensive post-sale file monitoring across the network on Occupational Pension business and pensions, in accordance with regulatory requirements * Undertake quality of advice reviews across all occupational business and all AR firms, maintaining accurate records of trends and communicating them to the team within desired timescales * Provide technical support for the Compliance Department as required on Occupational Pensions * Liaising with member firms in regard to pensions queries, and engaging in training with advisers to improve pensions knowledge and skills * Creation and management of newsletters, bulletins and key documents * Responsibility for the design, management, and ongoing maintenance of PTS focused audit checklist * Manage and conduct specialist pension audits with those advisers holding occupational pensions permissions * Apply a risk-based and common-sense approach to the compliance monitoring process