Compliance Administrator

Position: Compliance Administrator

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 £26,000 + 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 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 £26,000
• Bonus
• 25 days’ annual leave
• Healthcare
• Pension (5%, 5%)
• Study support
• Death in Service x 4

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.