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Compliance Administrator
  • United Kingdom - Essex - Billericay -
1 year ago
£ 25000 Per year Inc. benefits
Administrator
Permanent,Full-time
Job Description

Responsibilities

  • Directly assisting the Compliance Manager in the execution of their regular and ad hoc duties
  • Providing effective support and assistance in the undertaking of checks of all business partners, introducers, lenders and networks
  • Undertaking and providing feedback on Adviser file checks to ensure AML, regulatory and Company policies achieve the required standards
  • Fielding emails and calls from Advisors in relation to live cases and facilitating discussion relating to internal policies and regulatory compliance processes and case management.
  • Helping to maintain accurate and relevant business records and centralised compliance registers
  • Proactively identifying new responsibilities and looking for opportunities to streamline and draw additional value from the governance and compliance processes.
  • Any other duties as assigned and deemed commensurate with the role.

Required Knowledge, Skills, and Abilities
  • Experience with the processes of file or audit checks, preferably within an FCA regulated environment
  • Motivated and focused self-starter who could learn new skills
  • Strong organisational and communication skills • Detail oriented with commercial awareness of business requirements
  • Ability to manage multiple tasks and working to strict deadlines
  • A strong grasp of written English and excellent proof-reading skills
  • Computer literate in Word, Excel, and PowerPoint
  • Ability to provide excellent customer service to customers and stakeholders
  • A flexible approach to work, and the ability to work well as part of a dynamic team
  • Positive attitude with a strong desire to learn and progress

Reference no: 100950

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