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Business Assesor

Job Description

I'm working with one of the UK's largest Chartered Financial Planning firms. The firm are looking to appoint an individual who will form an integral part of the growing compliance team in a Business Assesor role.

The role will report directly to the Head of Group Compliance and will entail dealing directly with advisers in the firm's network. Pension and investment work will be investigated at both pre and post trade formats.

Candidates will need to be Level 4 diploma qualified and have recent experience of working within an adviser practice or wealth management firm.

Below are the key areas of knowledge and experience:

  • Pre and post investment trades
  • Occupational Pensions
  • DB Pension Transfers
  • Occupational Pensions Transfers
  • Personal pensions
  • Occupational Pension switches
  • NISAs
  • Excellent communication skills, both written and verbal are essential requirements of the role.

A fundamental understanding of the Financial Conduct Authority’s Conduct of Business rules and principles of business would be desirable.

If you would like to discuss the role in further detail please contact me via jack.vaughan@thefourthline.co.uk or 0203 800 1565.