Part time Compliance Administrator required for single office IFA - based in Kew

02/08/2018

Compliance Administrator.

 

 

Support for single office IFA with responsibilities to include; day-to-day client administration, pre and post client meeting support and regulatory oversight including compliance and anti-money laundering.

 

2.5 to 3 days a week.

Flexible working hours

£20,000 - £25,000 pa

 

·         Oversight of Compliance and Competence procedures of the firm

·         Monitoring of client files to ensure regulatory requirements are being met.

·         Ensuring that findings from client file reviews are recorded as part of the firm’s management information.

·         Ensuring adherence to the Money Laundering requirements and monitoring through routine file checks.

·         Disclosure to the FCA of anything of which the FCA would reasonably expect notice i.e. submission of the firms Retail Mediation Activities Return.

·         Keep up-to-date with relevant legislative and regulatory developments

·         Ensuring that all appropriate records are kept (e.g. details of client identification, training, transactions etc.).

 

Key Requirements include

 

·         Knowledge of Compliance

·         Knowledge of Money Laundering Reporting function

·         Keeping up-to-date with regulatory developments

 

If this sounds like the perfect role for you, we would love to hear from you!

www.suzannehendrick.co.uk

Suzanne@suzannehendrick.co.uk

0208 878 8862

 

Due to the high level of response, Suzanne Hendrick Recruitment will only be able to make contact with those individuals who are short-listed for the role.  If you haven’t heard within 5 days of applying please assume that your application has been unsuccessful. 

 


< Back to Homepage