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Pensions Compliance Specialist


£45000 - £50000 per annum

Pensions Compliance Specialist


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

Please quote 44077 when calling Alexander Lloyd.

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