Compliance Administrator

4 months ago


StocktononTees, United Kingdom Joslin Rhodes Lifestyle Financial Planning Limited Full time

_**Responsibilities include, but are not limited to**:_
- Preparation and submission of regulatory reports
- Aiding in the Review of regulatory reports
- Conduct reviews within the first line of defence to assess whether effective controls are in place for the company to meet its regulatory obligations through adherence to its policies, procedures, and processes.
- Promptly escalate any emerging issues.
- Development & drafting of new compliance policies and the review/ updating of existing policies.
- Planning and ensuring that all regulatory deadlines are met with promptness
- **Requirements**_
- Be accountable, take responsibility for your work and your numbers and do what you say
- Be able to hold people accountable
- A calm and trustworthy aura
- Can explain technical information simply, clearly and with confidence
- Attention to detail
- Professional and proactive
- Effective time management skills with the ability to multi task
- Strong communication skills
- Be decisive
- Be able to tell it like it is, deal with the tough questions and get things done
- Display initiative by thinking proactively in identifying and presenting solutions to support activities and plans.
- **Typical Day**:_
- Reviewing Revenue in and ensuring all required paperwork and necessary points have been covered
- Organising and reviewing Regulatory Returns
- Supporting in resolving any Client grumbles or Complaints
- Reviewing documentation to ensure that we are working within FCA requirements.

**Job Types**: Permanent, Full-time

**Salary**: £21,100.00-£26,000.00 per year

**Benefits**:

- Additional leave
- Company events
- Company pension
- Employee discount
- Free parking
- Gym membership
- Life insurance
- On-site parking
- Private medical insurance
- Referral programme
- Sick pay

Schedule:

- Day shift
- Holidays
- Monday to Friday
- No weekends

Ability to commute/relocate:

- Stockton-On-Tees: reliably commute or plan to relocate before starting work (required)

Work Location: In person



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