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Compliance Advisor X 3

Our client is seeking 3 candidates for the position of Compliance Advisor. The main role of this job is to ensure compliant advice is provided to consumers, with a focus on advice deemed to be specialist, complex and/or high-risk to consumers. The role naturally involves supporting other non-specialist review work, as well as quality and themed reviews and Regulatory driven projects as required.

Main Job Responsibilities:

– Assessment of specialist, complex and/or high-risk business written against standards and the provision of ‘enabling’, clear, accurate and appropriate feedback.

– Assessment of cases selected for themed monitoring and assisting in the reporting of the outcomes of themes.

– Follow procedures for identifying and referring unsuitable advice cases.

– Following departmental procedures for the correct administration and recording of your work, in order to create accurate and robust audit trails.

– Ensure that accurate and accessible records of case reviews are maintained.

– To work with your peers and other departments in order to maintain the quality and consistency of case review work.

– To help create an open and supportive environment for quality review discussions to take place.

– Liase with customers by telephone and in writing, providing a high standard of customer service.

– Act in accordance with the departments T&C document to demonstrate ongoing competency.

– Provide support to colleagues within the team and the group as and when required.

– To understand the significance of TCF as the prime driver within the department, which fosters an understanding and appreciation of its significance.

– To undertake projects as and when required, to support the needs of the business or to achieve departmental objectives.

– Awareness of operational and regulatory risk, which may impact on the client.

– To highlight to your line manager procedures & processes that do not adhere to the principles of TCF/RCR and to put forward suggestions that improve department practices.

– To deliver your role competently and comply with the relevant standards and procedures, ensuring that the company deliver a service where suitable advice is given to the end consumer, which is adequately recorded and ultimately promotes that customers are treated fairly. This can either be through direct influence or in a support capacity.

Required Candidate Skills:


– Diploma in Financial Services (QCF Level 4)

– G60 or AF3 (Pension Planning) or AWPeTr

– AF7 Pension Transfers

– Experience of working within a pensions or compliance environment


– ER1 Equity Release

– CF8 Long Term Care Insurance

– AF1 Personal Tax and Trust Planning (J02 Trusts & RO3 Personal Taxation)

– J05 Pension Income Options

– R04 Pensions and Retirement Planning

– J04 Pension Funding Options

Location: Sale

Hours: 37.5 per week

Additional Information: Benefits include single PMI, 27 days holiday, 7% employer pension and 13 week notice period.


To apply: Forward your CV following the apply link in either Word or PDF format

Please Note: due to the volume of applications being received we can only respond to those offering the relevant experience as outlined in the advert.

Please feel free to visit our website in order to view all our current vacancies and sign up for personalised job alerts.

Job Reference: 49473_1549621131

Salary: Detailed in job spec

Salary per: Annum

Job Duration:

Job Start Date: Immediate or ASAP

Job Type:

Job Location: ,

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By |2019-02-08T10:18:53+00:00February 8th, 2019|Comments Off on Compliance Advisor X 3

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