Compliance Administrator (file review)

We are currently partnering with a flourishing IFA business based in Sussex that are looking to appoint a full-time Compliance Administrator. This is a newly created role due to continued growth.

Background:

• Previous experience in financial services, ideally a wealth management/financial planning/IFA environment is essential rather than a restricted platform business (athough they are open to considering these for someone with the right attitude/qualifications).
• Ideally with experience in a compliance role
• Experience of file reviews (pensions and investments related)
• Someone 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 a key component of the role will consist high-level file checking and supporting the Compliance Manager with wider business operational compliance i.e. 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.

The salary range is fairly broad depending on experience and qualifications (£35-£42k).

Current benefits are:

• PMI - Bupa
• DIS x3
• Aegon pension - option to invest in their own CIP, 5% employer
• 25 days hols + holiday purchase scheme buy/sell up to 5 days per annum
• Full exam support
• Enhanced maternity/paternity pay

Additional benefits are going to be rolled out over the next 12 months, including:

• Cycle to work scheme
• Season ticket loans
• Critical illness
• Income protection

If this Compliance Administrator position interest you then please submit your CV for review now!