Compliance and Support/Administrator Horsham £22,000

Job Title: Compliance and Support/Administrator Horsham £22,000
Contract Type: Permanent
Location: Horsham, West Sussex
Salary: £18000 - £22000 per annum + Benefits
Start Date: ASAP
Reference: JETE5_1533645677
Contact Name: Tanya Etheridge
Contact Email:
Job Published: August 07, 2018 13:41

Job Description

Compliance and Support/Administrator - Horsham - £18,000 - £22,000 + Benefits

This award-winning financial planning firm are looking to add to their highly successful team. They blend cutting edge technology, holistic financial planning and discretionary fund management to deliver what they believe is the best absolute wealth management proposition in the UK.

The Role

  • Assist and support the Compliance Supervisor in administering the supervisory scheme across the Network
  • Provide telephone cover and support for the Compliance Supervisor
  • Prepare Daily, Monthly, Quarterly, Bi Annual and Annual tasks to assist 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 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
  • Maintain an up to date and accurate compliance document library for use by Advisers, Para-planners and Support Staff

Desirable Qualifications and Experience

  • Experience within the financial services, preferably in an investment or insurance environment
  • Administration experience
  • Good understanding of excel, MS outlook and other MS office software
  • A good level of Financial Services industry experience, preferably in a retail/IFA environment
  • 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 rappor
  • Excellent attention to detail and ability to work to tight deadlines