Life and Pensions Compliance Analyst
This will include completion of file reviews of new high net worth client business prior to its release to the client, monitoring of systems against regulatory handbook requirements and operation, maintenance and development of a compliance monitoring programme alongside compliance peers operating in the wider business.
The role will include creation and retention of records of regulatory compliance on behalf of the business to a standard that will satisfy external regulatory and legal bodies, and to take responsibility for review and first stage approval of the work of other members of the team. The successful candidate will also be responsible for the development and production fo regular Management Information to senior compliance staff and management fo the business.
Applicants should have compliance experience of at least 3 years within UK Financial Services,to include Life and Pensions and be educated to at least A level standard or equivalent, and will ideally hold a good first degree. Experience of Microsoft Office (particularly Word, Excel - at least intermediate) is essential. Knowledge of Access would be useful.
Possession of industry and regulatory qualifications relating to life and pensions, tax, investments and pensions (including pension transfer work) is essential. Irrespective of CII qualifications obtained, candidates may be required to study for the CISI Diploma or equivalent given the relative seniority of the role within the team,a nd the team’s position within the organisation.
This role will provide support for the Regional Offices, and will require a degree of regular travel for branch inspections, due diligence and project work.
Candidates should consider this position as having the potential for a longer term professional career in Compliance.
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