Financial Compliance Officer

2 weeks ago

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

Salary: £20,000 to £22,000 per annum

Type: Full Time, Permanent

Location: Newark, NG24 1BS

Overview:
Are you experienced in the financial sector or have a keen interest in compliance? Do you possess strong analytical skills and thrive in high-pressure environments? If you are organized and detail-oriented, we invite you to explore an exciting opportunity with Fiducia Commercial Network, a respected and expanding entity within the financial services industry.

About Us:
Fiducia Commercial Network is part of the Fiducia Group Limited, a well-established financial services organization with over two decades of expertise. We are seeking a Compliance Administrator to join our growing compliance team in a dynamic industry.

Key Responsibilities:
As a Compliance Administrator, you will assist the compliance team in fulfilling regulatory obligations. This role serves as an entry point into a compliance career, with training and internationally recognized qualifications provided through the ICA to enhance your professional development.

  • Monitor the compliance of the firm's appointed representatives by conducting thorough client file reviews.
  • Facilitate the onboarding process for prospective appointed representatives, ensuring all necessary documentation is collected and verified.
  • Execute tasks outlined in the compliance monitoring plan.
  • Maintain and update the 'White docs' utilized by appointed representatives, ensuring they are informed of any modifications.
  • Ensure compliance with Consumer Duty and escalate any issues to the Head of Compliance.
  • Investigate customer complaints and inquiries in accordance with Consumer Duty requirements.
  • Handle DSARs and data-related inquiries in line with Data Protection obligations.
  • Respond to compliance queries from appointed representatives promptly.
  • Provide accurate data and narratives to the Head of Compliance.
  • Adhere to the firm's Compliance Training & Competence Scheme.
  • Comply with the Financial Services and Markets Act 2000 and FCA Principles.

Skills and Qualities:
We are looking for candidates who possess:
  • Excellent verbal and written communication skills.
  • A structured and independent thought process.
  • Exceptional attention to detail and the ability to complete tasks efficiently.
  • The capability to perform well under pressure.
  • Experience in collaborating with internal and external stakeholders.
  • Proficiency in computer applications, particularly Microsoft Excel.
  • Strong time management abilities.

We welcome your interest in the Compliance Administrator position and encourage you to submit your updated CV for consideration.

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