Contract Compliance Administrator

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

General Responsibilities

 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

Ad-hoc Responsibilities

 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.