Compliance Administrator

Position: Compliance Administrator (hybrid role)

Location: Horsham, West Sussex

Minimum Requirements: Previous experience within an financial services administration role ideal; Good I.T. skills required; Strong communication skills

Salary/package: Up to £29,000 + bonus + 25 days' annual leave + healthcare + pension (5%, 5%) + study support + DIS + various other benefits

YOUR NEW COMPANY

Our client is a successful, award-winning UK-wide IFA network with head quarters based in West Sussex. The company has significant plans to grow over the next 6 months and has just started the search for a Compliance Administrator to join its rapidly-expanding Compliance team. The position allows for hybrid working (2 days per week working from home).

THE ROLE

Reporting to the firm’s Compliance Manager, the Compliance Administrator's key duties will include:

• Ensure awareness and compliance of regulatory responsibilities
• To follow and adhere to the working Authorisations & Approvals and Compliance Admin procedures as laid down by the Authorisations & Approvals Manager and Compliance Managers.
• Process applications through to appointment of Appointed Representative Firms, their Registered Individuals and Introducers.
• Review any adverse information identified during the application process and bring these to the attention of the Authorisations & Approvals Manager, e.g. references, credit checks, financial solvency etc.
• Submit applications to the FCA for regulatory approval and liaise with the FCA when applications become non-standard.
• Process Appointed Representative Firm and Registered Individual resignations in accordance with the Authorisations & Approvals procedures, including checking off / storage of client files.
• Assist the Authorisations & Approvals Manager in the collating of Management Information.

REQUIREMENTS:

Candidates interested in the Compliance Administrator vacancy will have the following criteria:

• Previous experience within an Financial Services administration role ideal
• Good I.T. skills required
• Strong communication skills
• Live a commutable distance from Horsham

REMUNERATION / PACKAGE

The package for the Compliance Administrator role is as follows:

• Salary of up to £29,000
• Bonus
• 25 days’ annual leave
• Healthcare
• Pension (5%, 5%)
• Study support
• Death in Service x 4
• Hybrid working

Next steps:

If you are happy to apply for this position, please click on the Apply button and attach an updated copy of your CV.