Compliance Support / Administrator

Posted 2 January by First Recruitment Services Limited
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Our client in the Horsham area is looking for someone with a good level of Financial Services industry experience, preferably in a retail/IFA environment to join their team

Do you have

  • Some understanding of FCA rules and their interpretation/application
  • Strong analytical, observational, written and verbal communication skills
  • Organised with the ability to prioritise tasks
  • Ability to communicate with people at all levels and build rapport
  • Excellent attention to detail and ability to work to tight deadlines

Are you able to

  • Assist and support the Compliance Supervisor in administering the supervisory scheme
  • Provide telephone cover and support for the Compliance Supervisor
  • Prepare Daily, Monthly, Quarterly, Bi Annual and Annual tasks to assist the Compliance Supervisor including -
  • Prepare 1-1 documentation
  • Prepare skills assessment documentation
  • Prepare KPI reports
  • Prepare knowledge assessment documentation.
  • Prepare training evaluation and development plan documentation
  • Update activity sheets
  • Pre-pare audit documentation
  • Follow up on outstanding compliance actions required by advisers
  • Attend Quality & Risk, Aspect 8 and Supervisory Team Meetings as required and add to the discussion as appropriate
  • Undertake supporting administrative tasks for the Compliance Supervisor as and when required
  • Liaise effectively and confidently with senior management within both Best Practice and Aspect 8
  • Maintain an up to date and accurate compliance document library for use by Aspect 8 Advisers, Para-planners and Support Staff

First Recruitment Services are acting as an employment agency in relation to this vacancy.

Reference: 36924354

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