Senior Compliance Administrator

2 months ago


Leicester, United Kingdom SF Group Full time

Job Title: Senior Compliance Administrator

Contract: Full Time, Permanent

Location: North Leicester, Leicestershire

**Salary**: £26,000- £30,000

Hours : 9:00am-5:00pm

The Commercial Division of SF Recruitment are currently looking to recruit a Senior Compliance Officer

To ensure compliance with regulatory requirements. Providing and recording approval to firms in respect of stationery, financial promotions and other customer facing materials.

The role:

- Maintenance of records for the firms' financial promotions on the network systems, cross referencing with the database and schedule appropriate reviews
- Assess and carry out desk-based reviews for financial promotions, within agreed service levels and recommendations made where appropriate - this will include documenting all details of the planned financial promotion - ensuring feedback is followed up until fully completed.
- Identify and manage high risk -communications implementing regular reviews, updating systems and records.
- Provide appropriate and constructive feedback where areas for improvement are identified, i.e. setting up marketing campaigns and ensuring clear, fair, and not misleading
- Mentor co-workers providing guidance, advice, feedback and assist in the growth and development of others.
- Maintain records of all decisions concerning the financial promotions.
- Report any breaches in line with the network Breaches policy, ensuring a record is held on file.

Skills required:

- CeMAP qualified or equivalent professional financial services qualification
- CeRER or equivalent professional financial services qualification
- The ability to analyse information with a view to making informed decisions.
- Experience of working under pressure, prioritising, and working to tight deadlines
- Good team player, but with a definite ability to work under own initiative.
- Minimum 2 years' experience in a similar role ideally within the financial services sector
- String verbal and written communication skills
- Knowledge of FCA Handbook and Financial Promotion requirements
- Experience of managing and reviewing more complex materials



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