Compliance Administrator

Eden Rose


Date: 3 weeks ago
City: Warwick
Contract type: Full time
Compliance Administrator (IFA) – Birmingham – up to £30,000

Benefits

  • 31 days annual leave (incl BH)
  • Income protection scheme from day 1
  • Life assurance from completion of probation
  • Other benefits include: EAP, Wellbeing support, Financial wellbeing, virtual GPs etc.
  • Company sick pay from completion of probation

About Us: We are a reputable financial advisory firm committed to providing top-notch service and expertise to our clients. We are currently seeking a dedicated and detail-oriented individual to join our team as a Compliance Administrator This role is crucial in maintaining our commitment to excellent customer service and ensuring the smooth daily operations of our office.

Key Duties And Responsibilities

  • Provide administrative and operational support to the compliance department.
  • Conduct risk assessments and monitor adherence to laws, regulations, and internal policies.
  • Assist with compliance reporting, file checking, and adviser observations.
  • Help maintain up-to-date policies and procedures.
  • Collaborate with internal teams and contribute to a culture of compliance.
  • Support with regulatory audits, complaints resolution, and Consumer Duty attestations.

Qualifications And Skills

  • A positive, approachable, and service-focused mindset with a “can do” attitude.
  • Previous administrative experience in the Financial Services sector, ideally within compliance.
  • Understanding of FCA rules affecting financial advice and wealth management
  • Understanding of Financial Advisors’ responsibilities and the importance of compliance in their work.

What’s next?

Apply today to be considered for this Compliance Administrator opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion, we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.

How to apply

To apply for this job you need to authorize on our website. If you don't have an account yet, please register.

Post a resume

Similar jobs

Industry Process Consultant - Senior

Dassault Systèmes, Warwick
4 days ago
We’re looking for an experienced Industry Process Consultant to join our Centre of Excellence in the UK West Midlands, delivering 3DEXPERIENCE solutions to leading clients.We are Dassault Systèmes, the 3DEXPERIENCE Company, empowering businesses with virtual universes to imagine sustainable innovations. Our platform transforms how products are designed, produced, and supported—driving the next-generation capabilities of the Experience Economy.Your Role: As a...

EU Key Account Manager

VAT GROUP, Warwick
6 days ago
VAT Vakuumventile AGEU Key Account Manager Scientific Instruments (SI) (100%)VAT is seeking a full-time EU Key Account Manager (EU-KAM). The preferred location of the position is in UK. The EU-KAM reports directly to the Head of Sales for Advanced Industries in Europe. The EU-KAM is a strategic leadership position responsible for leading a matrixed EU team to execute the Business...

Commodity Manager (f/m/d)

Siemens Energy, Warwick
3 weeks ago
A Snapshot of Your Day You will define a commodity strategy for your commodity, forgings, and will work alongside cross functional colleagues to implement that strategy through a commodity circle. You will identify the short, medium and long term direction of travel for the commodity, including developing strong collaborative relationships with the key suppliers for your commodity. You will keep...