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Compliance Administrator

£21000 - £24500 + benefits

Compliance Administrator


£21,000 - £24,500

We are representing a dynamic, market leading organisation that is going through an exciting period of growth. The business creates bespoke, cloud-based technology solutions to support Financial Services firms. This unique combination of wrap platform, discretionary and investment management allows its clients to deliver a high-class service to their clients.

They are looking for a compliance administrator to join their team to provide support to the wider compliance team, ensuring the business is being compliant with all obligations to the UK and EU regulatory system.

Key Activities & Responsibilities:

  • Assist and support the Compliance team in administering the monitoring function across the company
  • Provide telephone cover and support for the Compliance team
  • 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
  • Provide technical support and regulatory analysis in support of the Compliance team, keeping up to date with regulatory and industry developments
  • Take on tasks and projects as requested by the Management team with a can-do attitude and a timely approach
  • Update procedures and documentation as directed by senior management
  • Complete tasks to a high standard, and apply initiative to accommodate for wider issues
  • Identify and communicate system and procedure enhancements to management where identified.
  • Provide support to the wider team in regards complaint handling and breach report, paying due regards to ensuring the breach registers and compliance registers remain complete and up to date
  • Provide support where it is required by the business, including to other team members, other teams or in extreme cases to the wider business.

Required Skills/Experience:

The successful candidate will be/have:

  • Knowledge of FCA rules and their interpretation/application.
  • Experience working within a regulated industry, preferably financial services
  • Knowledge of Data Protection requirements
  • Ability to communicate with others confidently whilst remaining flexible/adaptable.
  • Good analytical, observational, written and verbal communication skills.
  • IT literate with strong knowledge of Microsoft Office programs. 

Desirable Skills/Experience:

  • Desirable – Experience within the financial services industry, preferably in an investment environment
  • Desirable – Holding or working towards platform qualifications

Personal characteristics:

  • Desire to self-improve and broaden knowledge.
  • Ability to manage own workload and support others
  • Excellent attention to detail
  • Problem solving
  • Inquisitive and analytical mind 
  • Approachable and pragmatic
Employment type: 
Employed (Full Time)
Reference Number: