Company: VISION-FS RECRUITMENT
Job Type: Permanent, FullTime
Salary: £21,000 - £26,000 per annum
Position: Compliance Administrator
Location: Horsham, West Sussex
Minimum Requirements: Previous experience within an financial services administration role ideal; Good I.T. skills required; Strong communication skills
Salary/package: Up to £26,000 + bonus + 25 days' annual leave + healthcare + pension (5%, 5%) + study support + DIS + various other benefits
YOUR NEW COMPANY
Our client is a successful, award-winning UK-wide IFA network with head quarters based in West Sussex. The company has significant plans to grow over the next 6 months and has just started the search for a Compliance Administrator to join its rapidly-expanding Compliance team.
THE ROLE
Reporting to the firm’s Compliance Manager, the Compliance Administrator's key duties will include:
- Ensure awareness and compliance of regulatory responsibilities
- To follow and adhere to the working Authorisations & Approvals and Compliance Admin procedures as laid down by the Authorisations & Approvals Manager and Compliance Managers.
- Process applications through to appointment of Appointed Representative Firms, their Registered Individuals and Introducers.
- Review any adverse information identified during the application process and bring these to the attention of the Authorisations & Approvals Manager, e.g. references, credit checks, financial solvency etc.
- Submit applications to the FCA for regulatory approval and liaise with the FCA when applications become non-standard.
- Process Appointed Representative Firm and Registered Individual resignations in accordance with the Authorisations & Approvals procedures, including checking off / storage of client files.
- Assist the Authorisations & Approvals Manager in the collating of Management Information.
REQUIREMENTS:
Candidates interested in the Compliance Administrator vacancy will have the following criteria:
- Previous experience within an Financial Services administration role ideal
- Good I.T. skills required
- Strong communication skills
- Live a commutable distance from Horsham
REMUNERATION / PACKAGE
The package for the Compliance Administrator role is as follows:
- Salary of up to £26,000
- Bonus
- 25 days’ annual leave
- Healthcare
- Pension (5%, 5%)
- Study support
- Death in Service x 4
Next steps:
If you are happy to apply for this position, please click on the Apply button and attach an updated copy of your CV.