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Compliance and Pension Specialist

  • Location


  • Sector:

    Regulatory, Risk & Compliance, Pensions and Benefits

  • Job type:


  • Salary:

    £35000 - £45000 per annum, Benefits: Pension & Benefits Package

  • Contact:

    Joanne McPherson

  • Contact email:


  • Contact phone:

    0113 274 3000

  • Job ref:


  • Published:

    over 1 year ago

  • Duration:


  • Expiry date:


  • Startdate:


  • Consultant:


Does the thought of being the right hand person to a practice owner inspire you?  Do you want to be part of a family feel wealth management business?  Do you want to take ownership and make an impact?

If so this may be of interest to you as s looking to appoint a Pension Transfer Specialist and Compliance Support professional to work in partnership with the Business Directors.


Your core duties and responsibilities would be as follows:
  • Compliance monitoring and conducting file review activity including both pre and post-sale checks in an IFA setting
  • Acting as PTS undertaking CF30 status
  • Feeding back to advisers in a constructive and timely manner to ensure quality standards are embedded into the advice process
  • Implementing remedial actions and following up to ensure completion and ownership
  • Identifying trends and collating data to share with the T&C Supervisor and wider compliance function including core KPI’s
  • Reviewing processes, systems and controls and being aware of emerging risks, regulatory updates and the potential impacts

You will ideally have the following skills and experience:
  • Demonstrable track record of providing business quality assessment and file reviews for advisers
  • QCF Level 4 as a minimum with accompanying pensions paper to support PTS status
  • Current and thorough knowledge of the advice process, the FCA handbook and regulatory guidelines including systems and controls
  • Detailed and logical approach to work with a keen eye for detail and the ability to disseminate complex information
  • Skilled communicator with the ability to deliver constructive feedback and challenge in a positive and engaging manner
  • Competent with FS back office systems and the Microsoft suite of products e.g. Word & Excel

This is a key appointment for the business and will give hands on experience to the many diverse areas of compliance and the scope to work in partnership with the Directors.


You will enjoy a competitive basic salary and have flexibility to help shape the role and work flexibly and also from home within business needs.