Compliance Administrator

Job Summary by the careerbalance.co.uk Team:

98Job Description:

Compliance Administrator

Salary – £ 20,000 to £22,000 pa

Full Time, Permanent.

Newark, NG24 1BS

• Have you worked within the financial industry or Compliance before? Or interested in a career in finance and Compliance?
• Are you a logical thinker and able to work well under pressure?
• Are you organised and have good attention to detail?
• Are you looking for a new challenge?

If this is you, then we have an exciting opportunity to join an established, respected, and growing company, Fiducia Commercial Network (which is a trading style of The Fiducia Network Ltd).

Fiducia Commercial Network is also part of the Fiducia Group Limited family which is an established financial services group with over 20 years’ experience, and we are looking for a Compliance Administrator to join our expanding Compliance team within an ever-growing industry.

What will you be doing?

As a Compliance Administrator, will support the Compliance team in their role as responsible for the compliance and regulatory requirements. This is the first stepping stone into a career in compliance. Training and internationally recognised qualifications through the ICA will be made available to the successful applicant to enhance career opportunities.

The key responsibilities are:

• Monitor the firm’s appointed representatives ensuring all relevant regulatory requirements are met through client file checking.
• Ensure the firm’s prospective appointed representatives are effectively and efficiently on-boarded as appointed representatives, including references, statements of honesty and integrity, KYC, and all other relevant documentation to verify the directors of the firm and their employees.
• Complete tasks within the compliance monitoring plan.
• Maintain the ‘White docs’ used by the appointed representatives and ensure they are kept up to date and the appointed representatives are made aware of any changes made.
• Maintain the firm’s compliance with Consumer Duty and report any concerns to the Head of Compliance.
• Research customer complaints and queries in line with the firm’s Consumer Duty obligations.
• Complete DSARs and data related queries in line with the firm’s Data Protection obligations.
• Assist with answering compliance queries raised by the appointed representatives in a timely manner.
• Feeds data and narrative to the Head of Compliance and ensure these are of high quality and accurate.
• Comply at all times with the Compliance Training & Competence Scheme of the firm.
• Comply at all times with the requirements of the Financial Services and Markets Act 2000, and the FCA Principles, Code of Practice.

You will use your fantastic verbal and written communication skills to build rapport using your exceptional attention to detail you also need to be able to see a job through to completion whilst juggling a workload.

You will work within a team environment and take responsibility for achieving company goals in your role.

What skills do you need to have?

Other qualities we’re looking for:

• Excellent verbal & written communication skills.
• A structured and independent way of thinking.
• Exceptional attention to detail and able to see a job through to completion.
• Able to work well under pressure.
• Experience of working with internal and external stakeholders.
• Computer literacy especially using Microsoft Excel.
• Excellent time management skills.

INDLS 

Location: Newark-on-Trent, Nottinghamshire