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Compliance Administrator

  • Location

    Liverpool

  • Discipline:

    Compliance, Risk Management

  • Job type:

    Permanent

  • Salary:

    £20,000 - £24,000

  • Consultant:

    Michael Ayres

  • Email:

    mayres@merje.com

  • Job ref:

    MA/16241

  • Published:

    13 days ago

Overview:

Long standing, prestigious and well respected Financial Services firm operating within the Investment and Wealth Management sector are looking to hire a Compliance Administrator to support the Compliance function.  The position represents an excellent opportunity for someone looking to begin a career within Compliance.

Core Responsibilities:

  • Carry out regulatory administrative and ad-hoc tasks as requested and in a prompt and efficient manner.  Ad-hoc pieces of work typically involves liaison with business Operations.
  • Regulatory file review process (completion of pre-work templates for the Regulatory File Review Officers)
  • Complaints handling (maintenance of the Firm’s complaints database).
  • Accurate production of various management information in relation to both regulatory file reviews and complaints.  This is required on a monthly, quarterly and half-yearly basis.  This includes MI in relation to File Reviews and Complaints in the main (including reporting half yearly to the FCA by completion of standard forms).
  • Liaising with the business at all levels where necessary including taking telephone calls from Investment Managers in relation to stock levels (following a standard process).
  • Regular reporting to the FCA in relation to changes in our discretionary shareholding levels (following a standard process).
  • Records maintenance.

Experience Required:

  • Previous work experience gained within Financial Services
  • Knowledge of compliance, or experience gained within a regulatory environment will be considered advantageous.
  • Ability to work in a fast paced busy environment and deliver on time.
  • Strong organisational skills.
  • Conscientious and reliable.
  • Good written and verbal communication skills.
  • Hard working, enthusiastic and tenacious.
  • Adaptable.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.