Compliance Officer
3 weeks ago
Join our esteemed client, a leading international wealth management firm, in a challenging yet rewarding role as a Pension Case File Review Specialist.
About the Role:
This position involves conducting thorough file reviews within the UK division of our client's rapidly expanding international wealth management company. As part of a small compliance team, you will play a crucial role in ensuring exceptional client outcomes through meticulous, accurate advice reviews.
Main Responsibilities:
- Review retail investment and pension advice files, prioritizing Defined Benefit Transfer advice files.
- Deliver clear, consistent, and constructive feedback to advisers/paraplanners.
- Oversee rework and sign off on cases upon completion.
- Drive outstanding client results through precise, high-quality advice reviews.
- Effectively manage your diary and prioritize reviews, particularly focusing on Pre-sale cases.
- Identify recurring errors and participate in root cause analysis.
- Contribute to the continuous improvement of the file review framework.
Necessary Qualifications and Skills:
- Level 4 Diploma.
- AF7 or equivalent pension transfer qualification (preferred).
- Background in IFA or network advantageous.
- Strong technical expertise and communication skills.
- Essential experience in reviewing Defined Benefit Pension Transfer files.
Compensation Package:£45,000 - £60,000 per annum
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