Compliance Manager

Our client is a well-known Financial Services business based in Knutsford, Cheshire, they are currently looking to recruit a Compliance Manager to join their Pension Transfer Team. Main duties include: 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. 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 Assessing and grading cases Providing clear, accurate and constructive feedback to the adviser Discussing cases with advisers Ensuring completion by the adviser of any remedial action by the adviser within acceptable timeframes Identifying any inconsistencies/errors Complete all file checks within specified timeframes Review client firms’ compliance standards against the FCA’s rules and principles 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. To maintain records to the standards necessary to demonstrate Adviser and departmental performance Other ad hoc duties as required Requirements: Good background knowledge of FCA Conduct of Business, advice process requirements and TCF principles. Knowledge of defined benefit transfers and pensions. Good knowledge of financial services and markets. Knowledge of compliance processes and structures. This job was originally posted as www.totaljobs.com/job/89681664