The successful candidate will be responsible for providing front-line support in relation to processing all daily incoming compliance queries logged through the helpdesk and ensure the firm, and individuals within the firm, practise and promote the highest standards of legal and regulatory compliance, promoting the reputation of the firm and advancing thinking on risk management.
This is a newly created position for a Compliance Helpdesk Administrator to join our compliance team, reporting directly to the firm's Legal Risk & Compliance Manager on a daily basis.
Our client is looking to recruit an experiened individual to join their expanding compliance team, to undertake file reviews to ensure that their business is providing the highest standards of advice to their clients, in line with company and FCA regulations.
Working with the Compliance Team in delivering the FCA regulatory issues and assimilating and implementing regulatory requirements in a timely manner and within imposed deadlines.
Assisting the Compliance Team in delivering and maintaining the Annual Compliance Plan, updating policy and procedures in line with FCA requirements ensuring regular reviews are conducted.
To manage the upkeep of the Compliance Monitoring Programme, ensuring tasks assigned to the business are completed in a timely manner.
A commitment to continuously improve and a desire to provide a "best in class" service to the operational business has initiated a multi-year digital transformation programme.
Working in collaboration with a Financial Adviser and other colleagues, you will assist the Financial Adviser in preparing recommendations in line with company policy including preparing and maintaining client records, learn all aspects of the business and become a valued member of the team and pass industry-based exams.
You will be expected to keep up to date with legislative and industry changes which affect the business and its clients.
A new role has become available for an experienced Administrator to join a national, Chartered Wealth Management Firm at their offices in Farnborough.
We are seeking candidates who have some demonstrable experience and career interest in Quality Assurance and Compliance.
You will have worked in a financial services organisation and be keen to learn and grow as the business develops.
We have successfully recruited during 2023 and as the business grows and develops, we now require an additional two Quality Assurance team members to join our wider Legal and Compliance team.