IFA Administrator, Specialising in Compliance

Location: Glasgow
To support the Compliance Manager to ensure the company achieves and maintains high standards of regulatory compliance in governance, operations, business, and client transactions.
Responsibilities:

• Maintain compliance monitoring plan for group of companies
• Assist Head of Compliance with administration, recording and gathering of MI.
• Preparation of MI and KPI on a quarterly basis
• Data input for Reg Data reports
• Data input for FCA Connect applications
• Data input for FCA Data Return requests
• Data collation, recording, and presentation for records management purposes
• Complaint handling and recording
• Breach handling and recording
• Maintain company compliance registers
• Assisting in the development and upkeep of policies and procedures
• Provide support and assistance to any ad hoc compliance projects as appropriate
• Escalate any issues, risks, or concerns to the Head of Compliance as appropriate
• Assist Head of Compliance with annual Certification process under SMCR

Skills:

• Experience working in a financial services environment preferably working within IFA Administration
• Someone who has an interest to move into compliance full time
• Strong written communication skills
• Understanding of UK financial services regulation

This is an amazing opportunity for an experienced IFA Support to specialise within the compliance field. Study support will be given should you wish to complete diploma or further your education to Chartered.

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