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Compliance Officer

2 months ago

Warrington, Warrington, United Kingdom MERJE Ltd Full time
Compliance Administrator Role

Our client, a leading Financial Services firm, is seeking a highly skilled Compliance Administrator to join their team on a permanent basis.

As a Compliance Administrator, you will be responsible for assisting the Head of Compliance in all aspects of the compliance regime, including:

Key Responsibilities:
  • Auditing New Business Submission files, subject to Risk Rating of the Advisers, and providing reports to ensure any remedial work is completed within a reasonable timeframe.
  • Providing pre-submission support to Advisers on file content and pre-sale checking to ensure compliance with regulatory standards and the firm's policies and procedures.
  • Chasing Remedial Work for completed file audits, updating and maintaining Adviser records as required.
  • Reviewing marketing material to ensure it is fair, clear, and not misleading, and requesting changes where necessary.
  • Ensuring the Firm's Compliance Monitoring Plan is adhered to on a monthly basis.
  • Preparing monthly reports on Compliance activity for the Company Directors.
  • Monitoring the Compliance Email Inbox and providing information and follow-up as necessary.
  • Ensuring all necessary measures and paperwork are completed to satisfy FCA requirements.

This is an excellent opportunity for a Compliance professional to join a reputable Financial Services firm and contribute to the success of their Compliance team.