Our client, a leading Financial Services firm are looking for a Compliance Administrator to join the team on a permanent basis.
As Compliance Administrator you will be assisting the Head of Compliance in all aspects of the compliance regime, including:
Role Responsibilities:
- Auditing New Business Submission files, subject to Risk Rating of the Advisers. Providing reports and ensuring any remedial work is completed within a reasonable time scale
- Providing the Advisers with pre-submission support on file content and pre-sale checking after induction to ensure they meet standards of the regulatory regime and in compliance with the firm's policies and procedures
- Chasing of all Remedial Work for completed file audits, updating and maintaining all adviser records as required
- Checking all marketing material to ensure they are fair, clear and not misleading and requesting changes where necessary and logging approved material
- Ensuring the Firm's Compliance Monitoring Plan is adhered to on a monthly basis
- Monthly Reports on Compliance activity to the Company Directors for the Board Meeting
- Monitoring the Compliance Email Inbox, providing information and follow-up where appropriate, or allocating to the appropriate team member for their personal attention
- Ensuring all necessary measures and paperwork have been completed to satisfy FCA requirements
Key Skills & Experience:
- Experience in a Compliance role gained within the Financial Services Industry, preferably in the IFA/Wealth Management sector.
- Relevant professional qualifications, preferably the Level 4 Diploma in Financial Planning.
- Knowledge of FCA regulations and compliance requirements within an IFA environment.
- Strong attention to detail and excellent organisational skills.
- Ability to work independently and as part of a team.
- Proficiency in Microsoft Office Suite (Excel, Word, Outlook).
- Excellent communication skills, both written and verbal.
- A proactive and diligent approach to work, with the ability to manage multiple tasks effectively
- Attention to detail with an ability to analyse complex financial information and provide credible challenge to the Company's directors, managers and financial advisers.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
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