Description
My client, an established IFA, are looking for a compliance consultant to come in to conduct a suitability review of their advice, particuarly relating to safegaurded benefit transfer advice. The ideal candidate will be able to combine strong regulatory compliance knowledge with supivisory and coaching ability. This role requires financial planning experience with a particular focus on pension regulation.
Essential Skills
- CII Diploma in Financial Planning
- Relevant Pension Qualification (R04, J04, J05, AF3 OR R08)
- Experience reviewing Safeguarded Benefit transfer advice
- Previous field based compliance experience
- File review experience
- AML knowledge
Desired
- Experience in supervising advisors and providing reulatory guidance
- R02
Location: London
Duration: 6 Month +
If you are interested in this suitability review position and have recent exposure to Safeguarded Benefit Transfer Advice please apply immediately