Job Details  
Advertiser: Fusion Appointments Ltd

Job Title: Contract Compliance Administrator
Location:West Sussex
Rate:£18K to £22K Per Year
Description: Contract Compliance Administrator

Role & Responsibilities:

Skills and knowledge

 A good level of Financial Services industry experience, preferably in a retail/IFA environment
 Some understanding of FCA rules and their interpretation/application
 Strong analytical, observational, written and communication skills

General Responsibilities

 Assist and support the Compliance team in administering the supervisory scheme across the Network
 Provide telephone cover and support for the Compliance Department and the Compliance Director
 Undertake “focused” file checks for the Network’s AR firms, maintaining accurate records of findings and communicating them to the team within desired timescales
 Undertake Monthly, Quarterly, Bi Annual and Annual tasks to assist with the Compliance Function across the Network.
 Attend Compliance Team Meetings, compile Minutes and add to discussion as appropriate
 Undertake supporting administrative tasks for the compliance team as required
 Liaise with the team on associated tasks and projects, and provide constructive input
 Liaise effectively and confidently with senior management
 Technical Support and Regulatory Role Analysis in support of Compliance Director

Ad-hoc Responsibilities

 Take on tasks and projects as requested by the Compliance Supervisors, Manager and Director with a can-do attitude and a timely approach
 Update manuals, procedures and Network documentation as directed by senior management
 Complete tasks to a high standard, and apply initiative to accommodate for wider issues

Desirable Qualifications and Experience

 Level 3 Certificate in Financial Planning with an aim towards the Level 4 Diploma qualification
 Experience within the financial services, preferably in an investment or insurance environment

Qualifications & Experience:

• Essential – experience within the financial services, preferably in an investment environment with a good understanding of FCA/PRA regulatory expectations and compliance requirements.
• Desirable – Previous compliance experience, ideally within an administrative role.
• Desirable – CISI IOC qualified (or equivalent)

Unfortunately, due to high levels of interest, only successful candidates can be contacted.
Skills Required: Compliance, Financial Services, Administration
Job Type: Contract
Start Date: ASAP
Contact: Tanya Etheridge Contact E-mail: Click
Contact Tel: 01306 745050 Contact Fax: 01306 745051
Reference: BBoooioComplia221 Added: 16-10-2017
  IMPORTANT: For jobs based in the UK it is unlawful to employ a person who does not have permission to live and work in the UK. Please ensure you have this permission before applying, unless the advert states otherwise.
Home   •   About us   •   Privacy Policy   •   Terms   •   Contact Us   •   Help
Copyright © 2013