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Compliance Pension Planning Consultant

Location: SWINDON, WILTSHIRE, UNITED KINGDOM Salary: 40,000.00-50,000.00 GBP (UK Pounds) Per annum, inc Benefits
Sector: Insurance Job Type: Permanent
Shift Type: N/A Applications: N/A
Posted: 10 months ago Reference: X3-220732

 
PENSION PLANNING CONSULTANT
SWINDON BASED
FULL TIME – AFTER TRAINING OPPORTUNITY TO WORK FROM HOME  1 OR 2 DAYS PER WEEK
£40 – 50K PLUS UNRIVALLED BENEFITS


PURPOSE
Responsible for the full advice check of both Pre-Vesting and At Retirement Occupational Pension Schemes, SIPPs and Opt Outs. Ensuring that the advice complies with both Pension Legislation and Regulation and the COBs Suitable Advice framework.
To review both the advice and the suitability of the recommendation for the end customer on behalf of the Adviser.


MAIN ACCOUNTABILITIES
• Responsibility for the full advice check of Defined Contribution Occupational Pension Schemes for both Pre-Vesting and At Retirement cases where there is a loss of Safeguarded Benefits, SIPPs, and Opt Outs, ensuring a full detailed analysis is completed on each case.
• Act as a point of expertise for Partner’s, Sales Management, QRMs and the wider business to ensure that their needs are met and any advice issues resolved
• Undertake all aspects of the role in an ethical, compliant, diplomatic and professional manner
• Completion of QA for peers


KEY ACTIVITIES
• Alignment of Pension Planning Service process to Pension Regulation and Legislation, Financial Services market place and Openwork changes


TASK MANAGEMENT
• Ensure consistency and quality of decisions within the team
• Escalation of exceptions and case and/or Adviser trends
• Identify and champion improvements to Sales Process
• Dealing with Appeals and Adviser complaints


QUALIFICATIONS
The following qualification is essential:
• Diploma
The following qualification is advantageous:
• G60 and/or AF3 and/or Certificate in Pension Transfers
• Chartered


EXPERIENCE
The following experience is essential:
• Minimum of 5 years within a Compliance based role in Financial Services
• Dealing with difficult customer situations
The following experience is advantageous:
• Leading change initiatives


KNOWLEDGE
Knowledge of the following is essential:
• COBs product and sales process
• COBs pensions regulation and legislation requirements
• TCF
• Data Protection
• Financial Crime

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