I am looking for a Compliance Administrator for a successful IFA Practice in Worthing. My client requires someone who can come in to the company and hit the ground running with a good attitude and clear understanding of the Financial Services industry.
Negotiable salary on offer dependant on experience and knowledge.
Duties such as...
• File checking and Adviser KPI reviews
• Advising business on maintenance of compliance
• Maintenance of compliance registers and reports.
• Perform due diligence on all prospective Introducers and issue agreements.
• Checking advertising, publications, websites etc. are compliant
• Communicating company policies to all staff
• Research & reading, keeping abreast of all relevant regulatory changes and updates and where necessary prepare summaries on such research
• Identifying potential areas of compliance vulnerability and risk
• Investigating complaints from customers in line with FCA regulations
• Ensure that Treating Customers Fairly (TCF) requirements are met by the company
The ideal candidate will have previous compliance experience within a IFA practice and have a flexible hardworking approach to their work. Any Financial Services Qualifications including the Level 4 Diploma and FPC 123 are not a must but would be advantageous.
Please apply online or contact firstname.lastname@example.org for further information.
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