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


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!

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. 


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