Pension Compliance & Suitability Analyst

Fisher Asset Management, LLC; Birmingham; On-site; GBP 40,000 - 70,000; Full time

Benefits offered by this job

Top-tier medical, dental and annual健康

28 days annual leave + option to buy 3

Enhanced maternity pay

Retirement pension with company match

Gym subsidy

Employee assistance program

Training and development

Global currency stipend for expatriate

Job summary

Fisher Investments Europe is seeking a Business Assurance Analyst to review suitability reports for pensions, ISAs, General Investment Accounts, investment bonds, and trusts to ensure all financial advice aligns with FCA requirements and our clients' best interests.

You will provide feedback to writers, liaise with internal clients, support training programs, and contribute to ongoing process improvements within the Europe-based advisory team.

Qualifications

• University degree or equivalent combination of education/experience.
• Level 4 Diploma in Financial Planning/Regulated Financial Planning.
• Level 6/Chartered status would be an advantage, AF3/G60 PTS qualification.

Responsibilities

• Review suitability reports to ensure that financial and investment advice complies with FCA requirements.
• Proactively contact internal clients for clarifications and gather necessary information.
• Provide feedback to report writers and respond to follow-up enquiries.
• Provide feedback to the Training Program Manager on areas for development in the advice team.
• Discuss process improvements with management and senior management; attend roundtable meetings to discuss themes and improvements.

Skills

Pension planning

FCA COBS knowledge

File reviews

Written and verbal communication

People skills

Education

University degree or equivalent

Level 4 Diploma in Financial Planning/Regulated Financial Planning

Level 6/Chartered status

AF3/G60 PTS qualification

Job description

Fisher Investments Europe is seeking a Business Assurance Analyst to review suitability reports for pensions, ISAs, General Investment Accounts, investment bonds, and trusts to ensure all financial advice aligns with FCA requirements and our clients' best interests.

You will provide feedback to writers, liaise with internal clients, support training programs, and contribute to ongoing process improvements within the Europe-based advisory team.