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Shoreham-By-Sea
Director of compliance and information security in gambling
Financial Services Compliance Administrator - file checking

Financial Services Compliance Administrator - file checking

Astral Recruitment

Posted a day ago, valid for a month

Shoreham-By-Sea, West Sussex BN43 5JE

£48,000 - £57,600 per annum

Full Time

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Sonic Summary

Our client, a well-established multi-branch Financial Services company, is seeking a Compliance Administrator to join their team.
The ideal candidate should have previous experience in financial services, preferably in a wealth management or IFA environment, and ideally possess compliance experience.
Candidates should be working towards the CII Diploma in Financial Planning, with R01, R02, and R04 as minimum qualifications.
The salary for this position ranges from £28,000 to £40,000 depending on experience and qualifications, along with a benefits package.
This is an office-based role, and the successful candidate will report directly to the compliance manager.

Our client is a successful and established multi branch Financial Services company and they are currently looking for a Compliance Administrator to join the team

The successful candidate will ideally be based in Shoreham but we could look at a base at the other offices

Previous experience required in financial services, ideally a wealth management/financial planning/IFA environment is preferable rather than a restricted business

Ideally you will have experience in a compliance role and ideally started studying towards the CII Diploma in Financial Planning - particularly with R01, R02 and R04 as a minimum

You will report into the compliance manager and the main part of the role will consist high-level file checking

you will be assisting with training and competency supervision such as reviewing KPIs, CPD, training and development plans for IFA's and mortgage advisors, maintain records and logs on compliance areas such as SPS's, complaints, data breaches, qualifications etc

Salary £28-40000 DOE and qualifications plus benefits package, immediate start

Please note this is an office based role

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