Compliance Adviser (Home Based)
We are delighted to be working with one of the UK's leading independent, Defined Benefit Advice specialists who strive to provide exceptional levels of customer service and compliance.
- Check suitability reports for DB Transfer cases to ensure compliance with FCA Conduct of Business Requirements
- To ensure that advice files are Compliant with the firm’s standards and FCA rules
- To assess the accuracy, completeness and suitability of cases submitted by advisers thus ensuring compliance with regulatory guidance, rules and adherence to Group Procedures and recording data on the appropriate databases.
- Chase outstanding information from advisers, where appropriate on a regular basis to ensure TCF principles are adhered to.
- To deal with technical queries from advisers.
- To review files relating to Pension Transfer where the appropriate qualification is held.
- To undertake any regulatory reviews and other tasks including project work, where required, by management.