Position details
COMPLIANCE ADMINISTRATOR - IFA PRACTICE
Location
Salary
Posted on
Reference
Salary
Posted on
Reference
Birmingham
£30000 - £35000 19/05/2025
NJR15744
£30000 - £35000 19/05/2025
NJR15744
DESCRIPTION
Compliance Associate (Wealth Management)
Birmingham
Salary up to 35,000
24 Days holiday, which increases based on length of service + your Birthday of
Our Client offer a boutique Wealth Management proposition service and provide bespoke financial solutions to High Net Worth individuals and businesses. A rare and exciting opportunity is now available for a highly professional and experienced Compliance Technician to join a growing and dynamic business.
This is a fantastic opportunity to join a prestigious firm with the offer of a competitive salary and excellent career opportunities such as on-job training, with a view to taking on the Compliance Manager role over next 24 months.
Responsibilities
\" Management of regulatory risk across authorised firms
\" To establish and maintain a constructive and open dialogue with the FCA and any other appropriate authorities and to ensure that any regulatory reports or enquiries are handled appropriately and promptly.
\" Design and implementation of suitable compliance arrangements in accordance with FCA regulations
\" Oversee the review and development of existing products and services.
\" Engage with business departments, using a degree of pragmatic collaboration to find compliant solutions to business problems.
\" Where necessary, overseeing remedial action as a consequence of regulatory risk
\" Overseeing regular auditing to ensure compliance with FCA regulations
\" Ensuring findings from client file reviews are recorded as part of the business\'s management information and reacted to by senior management, where necessary
\" Keep up to date with regulatory developments and maintain CPD records to evidence this.
\" Collate any regulatory issues or changes for HOC to report to the board
\" Provide help and assistance to the HOC to enable advice and guidance on all aspects of compliance including, file reviews, TCF gap analysis and implementation, financial promotion approval, recruitment guidance and implementation of T&C scheme.
\" Ensure the firm continues to meet its threshold conditions (COND).
\" Manage the firm\'s relationship with the Regulator in line with Principle 11*
\" Ensure that the firm can respond in a timely basis to requests for information from the Regulator.
\" Make all appropriate notifications and complete reports as required by the FCA, and any other information relating to the firm of which the Regulator would reasonably expect notice. For example: (RegData, Attestation of firm details, AR and IAR reporting, Consumer Duty reporting)
If you are looking for an opportunity to gain experience within a highly professional Financial Planning organisation then this is the role for you! With an excellent reputation in the Midlands market, my client can offer a sociable working environment and outstanding career opportunities.
For more information please contact one of our specialist consultants quoting Ref: NJR15744
Birmingham
Salary up to 35,000
24 Days holiday, which increases based on length of service + your Birthday of
Our Client offer a boutique Wealth Management proposition service and provide bespoke financial solutions to High Net Worth individuals and businesses. A rare and exciting opportunity is now available for a highly professional and experienced Compliance Technician to join a growing and dynamic business.
This is a fantastic opportunity to join a prestigious firm with the offer of a competitive salary and excellent career opportunities such as on-job training, with a view to taking on the Compliance Manager role over next 24 months.
Responsibilities
\" Management of regulatory risk across authorised firms
\" To establish and maintain a constructive and open dialogue with the FCA and any other appropriate authorities and to ensure that any regulatory reports or enquiries are handled appropriately and promptly.
\" Design and implementation of suitable compliance arrangements in accordance with FCA regulations
\" Oversee the review and development of existing products and services.
\" Engage with business departments, using a degree of pragmatic collaboration to find compliant solutions to business problems.
\" Where necessary, overseeing remedial action as a consequence of regulatory risk
\" Overseeing regular auditing to ensure compliance with FCA regulations
\" Ensuring findings from client file reviews are recorded as part of the business\'s management information and reacted to by senior management, where necessary
\" Keep up to date with regulatory developments and maintain CPD records to evidence this.
\" Collate any regulatory issues or changes for HOC to report to the board
\" Provide help and assistance to the HOC to enable advice and guidance on all aspects of compliance including, file reviews, TCF gap analysis and implementation, financial promotion approval, recruitment guidance and implementation of T&C scheme.
\" Ensure the firm continues to meet its threshold conditions (COND).
\" Manage the firm\'s relationship with the Regulator in line with Principle 11*
\" Ensure that the firm can respond in a timely basis to requests for information from the Regulator.
\" Make all appropriate notifications and complete reports as required by the FCA, and any other information relating to the firm of which the Regulator would reasonably expect notice. For example: (RegData, Attestation of firm details, AR and IAR reporting, Consumer Duty reporting)
If you are looking for an opportunity to gain experience within a highly professional Financial Planning organisation then this is the role for you! With an excellent reputation in the Midlands market, my client can offer a sociable working environment and outstanding career opportunities.
For more information please contact one of our specialist consultants quoting Ref: NJR15744
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