Compliance Administrator

Compliance Administrator

We are looking for a Compliance Administrator to join our growing team.

The ideal candidate will work from our Market Harborough Office, but with the ability to work from home and travel to other branches as required.

Key Accountabilities Include

  • Complete aspects of the compliance monitoring plan.
  • Work with the Compliance Director and other stakeholders to ensure compliance with the FCA rules, and instill a positive compliance culture in line with the firms core values.
  • Keep up to date with regulatory developments
  • Assist in the production of compliance reporting to senior management
  • Assist with the preparation of appropriate reporting to the Regulator (e.g. submission of the firms Retail Mediation Activities Return) and assist preparation of other FCA notifications and applications.
  • Work with the Compliance Director and external compliance support to ensure the firm complies at all times with the Compliance and Training and Competence policies of the firm
  • Comply with the requirements of the Financial Services and Markets Act 2000, the FCA Statements of Principle and Code of Conduct and the relevant FCA rules at all times.
  • Undertake training with all relevant staff to ensure they are aware of the regulatory requirements on selling practices as appropriate to their role.

Complaints handling

  • Ensure all staff (including new staff) are aware of the firm’s complaints handling policy.
  • Prepare complaint notifications to the Regulator and ensure these are submitted accurately and on a timely basis.
  • Prepare complaints management information

PI

  • Work with the Compliance Director to ensure adequate and appropriate PII cover is in place at all times.


Person Specification

Experience 

  • A minimum of 2 years experience in a compliance role
  • Financial Planning qualifications desirable

Skills / Personal Attributes

  • Excellent communication and organisational skills.

Salary of £25,000 – £30,000 

Job Title

Compliance Administrator


Department

Compliance


Location

Market Harborough


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