Description

COMPLIANCE ADMINSTRATOR - FINANCIAL SERVICES COMPLIANCE (ANY SECTOR) OR CONSUMER CREDIT/RETAIL FINANCE OPERATIONS EXPERIENCE REQUIRED

£30K- £33K +benefits Home Based (Anywhere in England or Wales)

Ref: 4209D

We have been exclusively appointed by our Client, a small friendly niche consulting & Appointed Rep hosting firm, looking for a Compliance Administrator to join their team. Reporting directly to the Directors in a mix of administrative & technical responsibilities, duties will include;

1. Obtain onboarding information and supporting evidence from newly appointed AR and IAR firms.
2. Issue documents for completion and signature, including agreements, policies, declarations and fit and proper assessments.
3. Track outstanding items and follow up until returned, complete and in good order.
4. Keep the compliance CRM system fully up to date, ensuring firm records, contacts, permissions, documents, training records and monitoring outcomes are accurate and current.
5. Log all correspondence, chases and outcomes so that the audit trail is complete and evidences our oversight as principal firm.
6. Run and check system reports to identify missing or overdue records, and correct data quality issues as they arise.
7. Act as a first point of contact for ad hoc queries from network firms, answering routine questions directly and referring technical compliance matters to the relevant consultant.
8. Maintain a professional, helpful relationship with firm contacts.
9. Review returned questionnaires, monitoring data and management information for completeness, consistency and obvious red flags.
10. Flag anomalies and gaps for review by the network lead or compliance consultants.
11. Support periodic monitoring reviews and file checks.
12. Prepare and format reports, packs, registers and correspondence for internal and client use.
13. Assist with the preparation of periodic reporting to the network lead and senior management.
14. Support ad hoc projects across the network as required.

You must have experience within financial services with a working understanding of FCA regulatory requirements and terminology and of why accurate records and evidence matter to a regulated firm. This have been gained either in a Compliance Dept (Not AML) in any sector, or else in an operations role in consumers credit or retail finance and now looking to break into Compliance.

This is a small friendly firm fully remote and if you work well and hard, then have a history of promoting quickly. NB you don't need to be a graduate (though welcome to apply if you are) but you must be happy with performing routine admin work as well as technical work and be based in England or Wales (with full UK working rights) as there are quarterly team meetings or attendance at conferences in person, normally in the South of England.

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at dmsymes@compliancerecruitment.com, however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate.