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Specialist Compliance Officer - West Yorkshire / Leeds

Employer
Compliance Resource Solutions Ltd
Location
New Wortley, UK
Salary
Competitive
Closing date
Jan 15, 2019

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Job Role
Compliance Accountant
Sector
Finance
Contract Type
Permanent
Hours
Full Time
Our Client is well known and operates within the Financial Services/IFA Market. They are now looking to meet with an Experienced Compliance Professional and one who has Experience of Reviewing and Signing Off New & Specialist Business Written. There is an Opportunity to work from home on some days of the week with this role Purpose Of The Role: To 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 our 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. Knowledge/Experience & Qualifications Required: Must be at least Level 4 Diploma Qualified (Financial Services) which will also include include a Pension Qualification, such as AF3 / AF7 (or equivalent) Experience of working within a pensions environment, including defined benefit transfers. Experience of working in a compliance environment Experience of advice review checking pension advice Must have current or very recent experience of file assessment ideally within an IFA environment Ability to provide constructive feedback to IFAs and colleagues There is also a Good Salary & Benefits Package Available

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