Compliance Pensions Transfer Specialist – Horsham, West Sussex – £45,000 – £50,000

REF: AH0413

Working on behalf of a highly reputable and award-winning Chartered Business who offer centralised, integrated support for financial planners and wealth managers, we are seeking a Compliance Pensions Transfer Specialist.


Our client, now 15 years’ old, offer a bespoke, multi-award-winning service with a tailored blend of products and can help with compliance, regulatory advice and innovative technological solutions. Their priority is to create and deliver a solution that meets their client’s needs, whilst maintaining high-level relationships with the vast majority of insurance companies, investment houses, pension providers and retail platforms.


The Role

Working as Compliance Pensions Transfer Specialist, you will have detailed knowledge of FCA rules and their interpretation/application, complimented with strong Occupational Pensions product knowledge and familiarity with FCA Pension Transfer standards. You will also have the ability to train and motivate other whilst remaining flexible/adaptable whilst also having highly developed analytical, observational and communication skills. Main duties and responsibilities will include, but not be limited to:

  • Undertake quality of advice reviews across all occupational business and all AR firms, maintaining accurate records of trends and communicating them to the team within desired timescales
  • Manage and conduct specialist pension audits with those advisers holding occupational pensions permissions
  • Provide technical support for the Compliance Department as required on Occupational Pensions
  • Liaising with member firms in regard to pensions queries, and engaging in training with advisers to improve pensions knowledge and skills
  • Creation and management of newsletters, bulletins and key documents
  • Responsibility for the design, management, and ongoing maintenance of PTS focused audit checklist
  • Manage and conduct comprehensive post-sale file monitoring across the network on Occupational Pension business and pensions, in accordance with regulatory requirements
  • Manage the pre-approval of Occupational Pension Transfer Business (PTS)
  • Keep up-to-date with regulatory and industry developments
  • Provide evaluation reports to the Compliance Manager
  • Undertake project work
  • Assist with documenting new procedures and policies
  • Liaise effectively with the supervisors and senior management in respect of regulatory and Network issues for Pensions and Occupational Pensions
  • Liaise with the team on associated tasks and projects, and provide constructive input
  • Provide support to other areas of the Compliance Department
  • Apply a risk-based & common-sense approach to the compliance occupational pensions process


The Candidate

We are seeking individuals who have a Minimum of level 4 Diploma in regulated financial planning (or equivalent), with significant progress towards the achievement of further qualifications desired, as well as Recognised Occupational Pension Specialist qualification – G60, AF3, AF7 or equivalent.

Detailed knowledge of FCA rules and their interpretation/application is highly essential as well as strong Occupational Pensions product knowledge and familiarity with FCA Pension Transfer standards.


You will be a highly developed analytical and observational person with excellent communication skills, able to train and motivate others whilst remaining flexible and adaptable with a can-do attitude and a timely approach to work outside that of technical interpretation.


Desirable Qualifications and Experience

  • L6 Advanced Diploma working towards Chartered Status
  • J07 Supervision in a Regulated Environment
  • Specialist qualifications:
    • Equity Release/lifetime mortgages – ER1 & HR1 or equivalent.
    • Long Term Care – CF8
    • Mortgages – CeMAP/MAQ/CF6
    • Single share based investments – L4 diploma + IMC or securities gap fill
  • Significant compliance experience within the financial services, preferably in an investment or pensions environment. An in-depth understanding of FCA/PRA regulatory expectations and compliance requirements.
  • Experience working within a network or firms with appointed representatives


Liability and Disclaimer

The information contained in our advert including any salary or on target earnings information is given in good faith and Clark James Ltd uses all reasonable efforts to ensure that it is accurate. However, Clark James Ltd gives no representation or warranty in respect of such information and all such representations and warranties, whether express or implied, are excluded. No liability is accepted by Clark James Ltd for any loss or damage which may arise out of any person relying on or using any information within this advert.


Please note

All applications received will be dealt with in the strictest confidence

Due to the volume of applications received we will be in touch if your application has been successful within 7 working days. If you have not received any communication within this time, please assume you have been unsuccessful on this occasion, but the information may be retained in connection with future opportunities.