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Compliance Administrator

North Oak Recruitment Ltd
Job LocationBlaby
EducationNot Mentioned
Salary18,000 - 26,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time or part-time

Job Description

Compliance AdministratorSouth Leicester (our ref AL1185)Salary to £26,000 dependent on experience and qualifications + benefitsFull time or part time (22 hours+) considered An exciting new role providing compliance support for a medium sized, friendly Independent Financial Services company based in Blaby, Leicester. The role will involve checking adviser client files against a checklist and preparing KPI results to discussat Training & Competence (T&C) monthly meetings.Experience in financial services or similar is preferred, along with enthusiasm and commitment in delivering a first-class service to colleagues and helping ensure that they in turn deliver a first-class service to our clients.The Compliance Department makes sure that all staff comply with internal and external regulations, working with management and staff to identify regulatory risks, and design internal controls to ensure compliance is maintained within the organisation. Thefile review process involves checking client files and the documents recorded on their back-office system against a file review checklist. The Compliance Administrator is required to check and record the accuracy of pre-sale and post-sale documents and thatthese have been created and saved in a timely manner in line with company procedures, as well confirming that anti-money-laundering requirements have been satisfied, and reporting findings to the Compliance Manager.Ideal skills and experience:

  • Someone who has ideally worked in a financial services organisation or similar who understands regulations/compliance.
  • A working knowledge of Microsoft Word, Excel and Outlook with the ability to get to grips with what might be an unfamiliar software package e.g. back-office system (X Plan) and Risk Profiling Tools.
  • Well-presented, Self-motivated and organised, with a good work ethic.
  • Will take personal responsibility for the quality and timeliness of work and can achieve results with minimal supervision.
  • Able to stay focused on tasks, despite distractions and interruptions.
  • Be an integral part of the team - a good communicator, willing to input new ideas and suggestions to improve process.
  • Flexible in their approach to work and processes. The right candidate should be able to adapt/evolve as working practices change.
  • Whilst already Diploma level 4 qualified would be ideal, individuals who have passed CII R01- Financial Services, Regulation and Ethics, or are willing to work towards doing so will be considered.
This is a full-time position, 37.5 hours per week, 9 a.m. - 5 p.m. (30 minutes unpaid lunch break), Monday to Friday, however the role may allow for flexible working hours options from a minimum of 22 hours per week.Benefits:
  • 25 days holiday, plus bank holidays (pro rata for part-time).
  • Generous non-contributory pension scheme, commencing after three months continuous service.
  • Free death in service, subject to qualifying criteria, commencing after three months continuous service.
  • Modern air-conditioned offices offering full kitchen and dining facilities, gym, and free on-site secure parking and dress down Fridays.
If this role is of interest, please apply with an up to date CV. We aim to respond to all applications within 10 days. By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, youcan of course, opt out of this at any time by emailing us. Full Privacy Notice can be found on our website.

Keyskills :
ComplianceRegulatory Requirementsadministrationfinancial serviceswealth management

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