Pension Case Checker, St Albans

3 weeks ago

St Albans, United Kingdom Independent Resourcing Consultancy Ltd Full time

Exciting Opportunity with a Leading International Wealth Management Firm We are delighted to collaborate with an esteemed international wealth management firm, renowned for delivering unparalleled personal financial advice to expatriate clients worldwide.
Our client stands as a borderless, independent financial advisory consultancy, unwavering in its dedication to safeguarding clients' financial futures.
Established by UK qualified financial advisers, they bring a fresh perspective to the industry, characterized by dynamic energy that distinguishes them in both offshore and UK markets.
Job Summary: This role primarily entails file review responsibilities within the UK division of a rapidly expanding international wealth management company.
As a member of a small compliance team, you'll focus on ensuring excellent client outcomes through meticulous, accurate advice reviews.
You will serve as a crucial partner to the company, identifying and taking ownership of individual and systemic advice risks as they arise.
The role offers significant potential for growth, with opportunities to explore various compliance areas based on individual interests and business requirements.
Responsibilities and Duties: - Conduct comprehensive file reviews for retail investment and pension advice, prioritizing Defined Benefit Transfer advice files.
- Provide clear, consistent, and constructive feedback to advisers/paraplanners.
- Monitor rework and sign off on cases upon completion.
- Drive excellent client outcomes through precise, high-quality advice reviews.
- Manage diary effectively and prioritize reviews, particularly focusing on Pre-sale cases.
- Identify common errors and participate in root cause analysis.
- Contribute to the ongoing enhancement of the file review framework.
- Potential for involvement in Training & Competence (T&C) activities, including coaching and assisting the UK Compliance Officer with annual competence assessments.
Qualifications and Skills: - Essential qualification: Level 4 Diploma.
- Preferred: AF7 or equivalent pension transfer qualification.
Candidates working towards this qualification will also be considered.
- Background in IFA or network advantageous.
- Strong technical acumen and communication skills.
- Essential experience in reviewing Defined Benefit Pension Transfer files.
Next Steps: Take the next step today and seize this excellent opportunity to join a firm that will inspire you and propel your career forward.
Contact us now to apply and embark on a rewarding journey with our esteemed client.

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