Contract Compliance Administrator
Role & Responsibilities:
Skills and knowledge
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 communication skills
Assist and support the Compliance team in administering the supervisory scheme across the Network
Provide telephone cover and support for the Compliance Department and the Compliance Director
Undertake "focused" file checks for the Network's AR firms, maintaining accurate records of findings and communicating them to the team within desired timescales
Undertake Monthly, Quarterly, Bi Annual and Annual tasks to assist with the Compliance Function across the Network.
Attend Compliance Team Meetings, compile Minutes and add to discussion as appropriate
Undertake supporting administrative tasks for the compliance team as required
Liaise with the team on associated tasks and projects, and provide constructive input
Liaise effectively and confidently with senior management
Technical Support and Regulatory Role Analysis in support of Compliance Director
Take on tasks and projects as requested by the Compliance Supervisors, Manager and Director with a can-do attitude and a timely approach
Update manuals, procedures and Network documentation as directed by senior management
Complete tasks to a high standard, and apply initiative to accommodate for wider issues
Desirable Qualifications and Experience
Level 3 Certificate in Financial Planning with an aim towards the Level 4 Diploma qualification
Experience within the financial services, preferably in an investment or insurance environment
Qualifications & Experience:
* Essential - experience within the financial services, preferably in an investment environment with a good understanding of FCA/PRA regulatory expectations and compliance requirements.
* Desirable - Previous compliance experience, ideally within an administrative role.
* Desirable - CISI IOC qualified (or equivalent)
Unfortunately, due to high levels of interest, only successful candidates can be contacted.