Compliance Case Checker (Pensions)

My client is a rapidly growing Financial Advisory firm, voted in the Top 100 by FTAdvisor last year. They are looking to continue their expansion by recruiting a Pensions expert into their Compliance team.


The Role:

Ideally based at Head Office in Carlisle, the successful candidate will:

  • Work alongside our compliance department and Action team
  •  Pre-Approve adviser pension transfer cases and other higher-risk cases.
  • Understand compliance requirements to ensure all files and documents are compliant
  • Liaise with our advisers and providers as required
  • Update adviser case records
  • Be IT proficient with the ability to understand different software packages to analyse data
  • Maintain high technical knowledge relating to products and services


The Candidate

The successful candidate will hold the Level 4 Diploma in Financial Planning and additional Pension qualifications, with strong knowledge of pensions, investments, tax planning and cashflow forecasting.


The Package

Salary circa £40k DOE with pay rise after 6 month probationary period.

The company will support further qualifications and offer additional pay rises upon completion.


Contact: Karen Cummins

Reference: KC/86320

Candidate care:


By responding to this advert, you consent to Cavendish Maine processing the personal data included within this application.


If your application is successful, we will contact you to discuss the opportunity in more detail, within 48 hours of receiving your application.


Should you not hear from us within 3 working days please assume your application has been unsuccessful on this occasion. Please be advised that if unsuccessful for this role we may keep your details in our hold file, during which time you may be contacted for other suitable vacancies.  If you do not want us to do this, please call us to advise.


In the meantime, we would like to thank you for your interest in Cavendish Maine.




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About Cavendish Maine

Cavendish Maine is a team of expert, straight-talking, and talented recruitment professionals with a shared passion to connect employers with the candidates they need to grow their business. With 30 years of experience, we adapt each recruitment process to meet the needs of our clients, through a blend of the very best recruitment practises, delivered with committed focuss on quality, understanding and integrity at every stage.

Whilst we are all very different, we share a set of values which is at the heart of what we do.