Financial Services Administrator

1 month ago

Newton Abbot, Devon, United Kingdom Charles Royle and Company Full time
Job Overview

We are seeking a highly skilled and experienced professional to join our team as a Financial Services PA and Compliance Administrator. This role requires a strong understanding of compliance and regulation, as well as excellent administrative skills.

Key Responsibilities
  1. Manage diaries and schedules to ensure efficient use of time
  2. Prepare documentation for client meetings and annual reviews
  3. Liaise with third-party providers to ensure seamless service delivery
  4. Deal with client enquiries and provide exceptional customer service
  5. Ensure accurate and complete records are maintained
  6. Process new business applications, withdrawals, and alterations
  7. Provide a personal and professional service to every client
Compliance Focus
  1. Develop and implement a sustainable risk-based compliance programme
  2. Identify compliance process improvements and present solutions
  3. Manage the compliance diary to ensure key business and regulatory timescales are met
  4. Monitor and maintain regulatory registers
  5. Utilise KPI and MI data to drive improvements
  6. Work with external file checkers to ensure good client outcomes
  7. Draft and update compliance procedures and policies as needed
  8. Embed Consumer Duty across the business
  9. Monitor learning and development activities
  10. Manage regular System and Control audits
Requirements

This is not a junior role, and we require experience within a Financial Adviser practice with a strong understanding of FCA regulation and core compliance requirements.

Completion or progress towards Diploma Level 4 qualification is desirable but not essential.

Good keyboard skills and a sound knowledge of Microsoft Office and Intelligent Office are essential.

You must have the ability to work independently and as part of a team, prioritising and planning workloads.

The ability to effectively communicate verbally and in writing is essential.

What We Offer
  1. Holiday entitlement increasing with service
  2. Additional holiday granted for the Christmas and New Year period
  3. Pension scheme
  4. Bespoke induction training plan
  5. Continuous training and development
  6. Study support
  7. Contribution to examination costs and awards
  8. Free car parking
  9. Staff social events

Job Types: Full-time, Permanent

Benefits:

  • Company pension
  • On-site parking
  • Work from home

Schedule: Monday to Friday

Work Location: In person

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