Compliance Pensions Transfer Specialist

Job Title: Compliance Pensions Transfer Specialist
Contract Type: Permanent
Location: Horsham, West Sussex
Salary: £25000 - £30000 per annum + 25 days Holiday, Pension + healthcare
Start Date: ASAP
Reference: BB3477743_1547203167
Contact Name: Tanya Etheridge
Contact Email:
Job Published: January 11, 2019 10:39

Job Description

Our wonderful client is looking for a Compliance Pensions Transfer Specialist to join the team. See below for full job description

Skills and knowledge

  • Detailed knowledge of FCA rules and their interpretation/application
  • Strong Occupational Pensions product knowledge and familiarity with FCA Pension Transfer standards
  • Ability to train and motivate other whilst remaining flexible/adaptable
  • Highly developed analytical, observational and communication skills

Qualification requirements

  • Minimum of level 4 Diploma in regulated financial planning (or equivalent), with significant progress towards the achievement of further qualifications desired
  • Recognised Occupational Pension Specialist qualification - G60, AF3, AF7 or equivalent

General responsibilities

  • Keep up-to-date with regulatory and industry developments
  • Provide evaluation reports to the Compliance Manager
  • Undertake project work
  • 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
  • Liaise with the team on associated tasks and projects, and provide constructive input
  • Provide support to other areas of the Compliance Department

Compliance Pension Responsibilities

  • Apply a risk-based and common-sense approach to the compliance occupational pensions process
  • 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

Ad-hoc Responsibilities

  • Take on tasks and projects as delegated by the Compliance Manager, applying a can-do attitude and a timely approach to work outside that of technical interpretation
  • Complete tasks to a high standard, and apply initiative to accommodate for wider issues
  • Apply a risk-based and common-sense approach to the compliance monitoring process
Desirable Qualifications and Experience
  • L6 Advanced Diploma working towards Chartered Status
  • J07 Supervision in a Regulated Environment
  • Specialist qualifications:
    • Equity Release/lifetime mortgages - ER1 & HR1 or equivalent.
    • Long Term Care - CF8
    • Mortgages - CeMAP/MAQ/CF6
    • Single share based investments - L4 diploma + IMC or securities gap fill
  • Significant compliance experience within the financial services, preferably in an investment or pensions environment. An in-depth understanding of FCA/PRA regulatory expectations and compliance requirements.
  • Experience working within a network or firms with appointed representatives

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