Warwick
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.