Authorisations & Approvals Administrator

Post Title: Authorisations & Approvals Administrator

Department: Authorisations & Approvals (Compliance)

Reporting to: Authorisations & Approvals Manager

Location: Head Office based in Horsham, with some travel throughout the UK

In Partnership is one of the UK's leading financial advice networks. From compliance to finance and business support, we assist our network in moving their business forward. In Partnership is proud that our advisers can provide a whole-of-market service to make the best product match for their clients.

About this position:

Hours: 35 hours per week - Monday to Friday 9:00 AM to 5:00 PM.

Work Location: In Person (Office based in Horsham).

Main Function of Role:

To assist the Authorisations & Approvals Manager and the team in processing all applications from Appointed Representative firms, their Approved Persons and Introducers in accordance with the Company's procedures and FCA rules.

This job description is designed to outline a range of main duties that may be encountered. It is not designed to be an exhaustive list of tasks and may be varied in order to reflect changes in the role, organisation or legislation.

Main Duties and Responsibilities:

1. To promote and work towards In Partnership's policy of delivery of Client Best Interest outcomes.

2. To ensure adherence at all times to the In Partnership suite of policy and procedures, with distinct regard and compliance with the Conflict of Interest Policy and Inducement and Incentive policy.

3. To take responsibility for own performance and to identify personal development areas.

4. To follow and adhere to the working Authorisations & Approvals procedures as laid down by the Authorisations & Approvals Manager.

5. To process applications through to appointment of Appointed Representative Firms, their Registered Individuals and Introducers.

6. To review any adverse information identified during the application process and bring these to the attention of the Authorisations & Approvals Manager, e.g. references, credit checks, financial solvency etc.

7. To submit applications to the FCA for regulatory approval and liaise with the FCA when applications become non-standard.

8. To process Appointed Representative Firm and Registered Individual resignations in accordance with the Authorisations & Approvals procedures.

9. To assist the Authorisations & Approvals Manager in the collating of Management Information.

10. To scan, collate, organise and store all documentation with appropriate labelling.

11. To undertake any other duties as required by the Authorisations & Approvals Manager, which may be necessary to fulfil the role.

12. To ensure adherence at all times to the principles of data protection and to the OPGL policies on such matters.

Skills / Qualifications

· Previous experience within a business administration role preferably within Financial Services is essential

· Good communication skills

· Proficient IT Skills to include experience of Word, Excel and Outlook

· Excellent investigative skills

· Ability to work on own initiative

· A confident individual possessing a sound systematic and methodical approach to work. Possessing the ability to communicate effectively at all levels and in all media types.

· Able to work well as part of a team.

· A basic knowledge and understanding of the Financial Services Industry.

Person Specification

· Ability to work on own initiative as well as working effectively as part of a team; however, even more importantly is the willingness to adopt a flexible approach to the work undertaken.

· Demonstrate commitment by regular attendance and efficient completion of all tasks allocated.

· Carry out duties and responsibilities in compliance with health and safety policies and statutory regulations.

· Maintain high standards of personal accountability.

· Willingness to undertake training and progress personal development.

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As a requirement of the Financial Conduct Authority's (FCA) Certification Regime, In-Partnership will carry out a pre-employment process to include pre-employment referencing, credit, and background (additional checks and information may be required for those at SMF). Information obtained during this process, and all subsequent data is deemed special category sensitive personal data and will be collected, processed and stored in line with the FCA's SMCR record keeping requirements.

In addition, In Partnership is committed to non-discrimination across the board, and in line with the Rehabilitation of Offenders Act (ROA) 1974.

We reserve the right to withdraw any offer of employment if relevant information during the pre-employment check process is omitted.

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Job Types: Full-time, Permanent

Pay: £26,000.00-£28,131.00 per year

Benefits:

• Company events
• Company pension
• Financial planning services
• Life insurance
• Private medical insurance
• Sick pay

Application question(s):

• Previous experience within a business administration role preferably within Financial Services is essential
• Good communication skills
• Excellent investigative skills
• Ability to work on own initiative
• Able to work well as part of a team
• A basic knowledge and understanding of the Financial Services Industry
• Proficient IT Skills to include experience of Word, Excel and Outlook
• A confident individual possessing a sound systematic and methodical approach to work. Possessing the ability to communicate effectively at all levels and in all media types

Experience:

• Finance Industry: 1 year (required)

Work authorisation:

• United Kingdom (required)

Work Location: In person