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Compliance Support Specialist

2 months ago

Newark on Trent, United Kingdom Fiducia Group Full time
Position: Compliance Administrator

Salary: £20,000 to £22,000 pa

Type: Full Time, Permanent

Location: Newark, NG24 1BS

Are you interested in pursuing a career in finance and compliance? Do you possess strong analytical skills and the ability to thrive under pressure? If you are organized and detail-oriented, we have an exciting opportunity for you to join our reputable and expanding company, Fiducia Commercial Network, a part of the Fiducia Group Limited.


About Us:
Fiducia Commercial Network is a well-established financial services group with over 20 years of experience in the industry. We are seeking a Compliance Administrator to support our growing Compliance team in navigating the regulatory landscape.


Key Responsibilities:
As a Compliance Administrator, you will assist the Compliance team in fulfilling compliance and regulatory obligations. Your responsibilities will include:

  • Monitoring the compliance of the firm's appointed representatives by conducting thorough client file checks.
  • Facilitating the onboarding process for prospective appointed representatives, ensuring all necessary documentation is collected and verified.
  • Executing tasks outlined in the compliance monitoring plan.
  • Maintaining up-to-date compliance documentation and communicating any changes to appointed representatives.
  • Ensuring adherence to Consumer Duty regulations and reporting any issues to the Head of Compliance.
  • Investigating customer complaints and queries in line with Consumer Duty obligations.
  • Managing data subject access requests (DSARs) and other data-related inquiries in compliance with Data Protection regulations.
  • Providing timely responses to compliance queries from appointed representatives.
  • Compiling and delivering accurate data and reports to the Head of Compliance.
  • Adhering to the firm's Compliance Training & Competence Scheme.
  • Complying with the Financial Services and Markets Act 2000 and FCA Principles.


Skills and Qualifications:
To excel in this role, you should possess:

  • Strong verbal and written communication skills.
  • A structured and independent approach to problem-solving.
  • Exceptional attention to detail and the ability to see tasks through to completion.
  • The capacity to work effectively under pressure.
  • Experience in collaborating with internal and external stakeholders.
  • Proficiency in computer applications, particularly Microsoft Excel.
  • Excellent time management abilities.

If you are looking for a challenging role within a supportive team environment, we encourage you to consider this opportunity with Fiducia Group.