Financial Services Compliance Specialist
1 month ago
We are seeking an experienced financial services professional to join our compliance team in St Albans. As a key member of our team, you will be responsible for reviewing files and providing feedback to ensure excellent client outcomes.
About the Role:
This role involves conducting comprehensive file reviews for retail investment and pension advice, with a focus on Defined Benefit Transfer advice files. You will provide clear and consistent feedback to advisers/paraplanners, monitor rework, and sign off on cases upon completion.
Responsibilities:
- Conduct thorough file reviews and provide constructive feedback
- Prioritize reviews and manage diary effectively
- Identify common errors and participate in root cause analysis
- Contribute to the enhancement of the file review framework
Requirements:
- Level 4 Diploma qualification
- AF7 or equivalent pension transfer qualification (or working towards it)
- Strong technical acumen and communication skills
- Experience in reviewing Defined Benefit Pension Transfer files
Estimated Salary: £40,000 - £55,000 per annum
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