Leicestershire (Our Ref AL1120)
Salary £25,000 – £30,000 + excellent benefits
My client is part of an award-winning IFA and Employee Benefits Group and they now have an exciting new opportunity for an experienced Compliance Administrator to join their team.
- Complete aspects of the compliance monitoring plan
- Work with the Compliance Director and other stakeholders to ensure compliance with the FCA rules, and instil a positive compliance culture in line with the firms’ core values
- Keep up to date with regulatory developments
- Assist in the production of compliance reporting to senior management
- Assist with the preparation of appropriate reporting to the Regulator (e.g., submission of the firms Retail Mediation Activities Return) and assist preparation of other FCA notifications and applications
- Work with the Compliance Director and external compliance support to ensure the firm complies with the Compliance and Training and Competence policies of the firm
- Comply with the requirements of the Financial Services and Markets Act 2000, the FCA Statements of Principle and Code of Conduct and the relevant FCA rules
- Undertake training with all relevant staff to ensure they are aware of the regulatory requirements on selling practices as appropriate to their role
- Ensure all staff (including new staff) are aware of the firms’ complaints handling policy
- Prepare complaint notifications to the Regulator and ensure these are submitted accurately and on a timely basis.
- Prepare Complaints Management information
- Work with the Compliance Director to ensure adequate and appropriate PII cover is in place
The Ideal Person
- A minimum of 2 years’ experience in a compliance role
- Financial Planning qualifications desirable
- Excellent communication and organisational skills
If this role is of interest, please apply with an up to date CV. We aim to respond to all applications within 10 days. By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us. Full Privacy Notice can be found on our website.