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We are currently working in Partnership on an EXCLUSIVE job opportunity with an Award-Winning firm of Chartered Financial Planners who are looking to recruit a 'Compliance Administrator'. Working from the large offices in Central Altrincham this will be a hybrid role (after initial training) where you will work 3 days office and 2 days from home, so a real work-life balance is on offer. Candidates successful in the role will provide dedicated, accurate and efficient support to the Compliance Team and the Director of Risk.
Daily duties will consist of;
o Undertake regulatory document reviews for the new business cases sent for checking
o Undertake the relevant documentation checks for mortgage new business cases
o Preparation for the annual compliance audit with the Head of Risk Management
o Preparation of KPIs for the Quarterly Meetings for all consultants
o Assisting the Head of Risk Management with the collation of data for the consultants to retain their fit & proper status, to include SPS renewals
o Maintaining the library of compliance procedures and plans required in line with the regulation, with reference to the Head of Risk Management where required
o Ensuring that any complaints (formal or informal), breaches or losses are reported to the Head of Risk Management at the earliest possible opportunity
o To undertake reasonable additional duties at the request of your Line Manager as may be required from time to time
Candidates coming from an IFA Practice would be ideal, however our client are happy to look at those from a Financial Services / Regulated environment.
RFL: 15513
