Pensions Compliance & Assurance Analyst

Fisher Asset Management, LLC; Leeds; On-site; GBP 42,000 - 63,000; Full time

Benefits offered by this job

Premium health coverage

Dental coverage

Annual leave 28 days

Maternity pay top-up

Fertility / family-forming benefit

Retirement pension plan

Gym subsidy

Employee assistance program

Training & events

Job summary

Fisher Investments Europe is seeking a Business Assurance Analyst to review suitability reports on pensions, ISAs, GIA, investment bonds and trusts to ensure recommendations align with clients' best interests and internal standards.

You will contact internal clients for information, provide feedback to report writers, and contribute to training and process improvement discussions with management.

Qualifications

• University graduate or equivalent combination of education/experience.
• Level 4 qualified - Diploma in Financial Planning/Regulated Financial Planning.
• Level 6/Chartered status would be an advantage, as would AF3/G60 PTS qualification.
• Strong understanding of financial planning principles and pension planning.
• Solid knowledge of FCA COBS requirements for suitability.
• Experience in reviewing personal recommendations for retail clients.

Responsibilities

• Review suitability reports to ensure compliance with FCA suitability requirements.
• Proactively contact internal clients for additional information and clarifications.
• Provide feedback to report writers and respond to follow-up enquiries
• Give input to Training Program Manager on areas for improvement in the advice team.
• Discuss process improvements with management and senior management.
• Attend roundtable meetings to discuss themes and improvements.

Skills

Financial planning principles

FCA COBS requirements

Written and verbal communication

People skills

File review experience

Education

Diploma in Financial Planning/Regulated Financial Planning

University degree

Level 6/Chartered status

AF3/G60 PTS qualification

Job description

Fisher Investments Europe is seeking a Business Assurance Analyst to review suitability reports on pensions, ISAs, GIA, investment bonds and trusts to ensure recommendations align with clients' best interests and internal standards.

You will contact internal clients for information, provide feedback to report writers, and contribute to training and process improvement discussions with management.