Compliance Administrator

**Are you looking to develop your career and join a fast-growing company that focuses on supporting employee careers with professional development? Then AFH could be right for you**

With over 30 years of experience and more than 200 accredited advisers nationwide, AFH is one of the UK’s leading independent financial advisory firms.

**Compliance Administrator**

We have an exciting opportunityto join our existing Risk team**.** Whilst experience can be a bonus, we are also looking for those of you who have a hunger for learning and wish to grow with us as a business in our Bromsgrove with remote working.You will join us on a **full-time, permanent** basis, and in return, you will receive a competitive salary plus a range of benefits.

**Key Responsibilities as our Compliance Administrator will include**:

- Assisting with the IFA recruitment process, ensuring that all regulatory and internal requirements are satisfactorily adhered to in a timely manner
- Ensuring that all necessary records are updated to reflect current recruitment status
- To assist in the collation of T&C MI as instructed
- Producing MI, where necessary, that is relevant to the duties undertaken
- Collating regulated induction packs for staff and advisers and updating the relevant records
- Supporting the in the co-ordination of the training system and assessment construction,including collation of results and exam MI
- Working closely with the firm’s Training Manager to ensure that regulated training requirements for staff are met
- To assist with administering annual and on-going fit & proper checks for IFAs and other regulated staff: Personal Account Dealing, Gifts & Inducements, Credit checks, Assets & Liabilities updates
- To assist in the development of all Training & Competence regulatory templating i.e. role play assessment forms, development action plans, skill assessments etc.
- To assist in the research of Personal Account Dealing queries
- To ensure that T&C records fully reflect the work conducted and are thorough and legible in nature
- To conduct necessary due diligence on all 3rd party provider & introducer terms of business and submit for authorisation
- To formulate RI contracts and introducer agreements once full due diligence has been completed and checked and to manage the process of the contract being put into force
- To assist with the renewal of all Firm regulatory licences
- To carry out any other departmental function as required

**What we are looking for in our ideal Compliance Administrator**:

- Good communication skills
- A good standard of written and numerical skills
- A high level of accuracy and attention to detail
- Good organisational and prioritisation skills
- Good IT skills
- Ability to work independently and on own initiative, where required
- Ability to work to tight deadlines
- Experience of working within a fast-paced environment

**Key Risk Responsibilities**
- Good understanding of regulatory recruitment process and of FCA T&C requirements
- Communicating effectively, ensuring that SLAs are adhered to
- Delivery of accurate information to relevant parties
- Referral to T&C Recruitment Executive, where necessary

**Key Performance Measures**
- All functions conducted within set SLAs
- Good quality MI in relation to tasks conducted
- High level of accuracy
- Adviser and department feedback

**Stakeholders (Internal/External)**
- FCA
- Sesame Bankhall - External Auditors
- Group Head of Risk
- Head of Business Development
- Acquisitions
- IFAs
- T&C Operations

**Benefits of working for AFH**:

- Contributory pension scheme
- Bonus scheme
- Cash plan health benefit scheme
- Competitive and flexible holiday allowance, with buy and sell scheme options
- Training and qualifications - We take pride in supporting and paying for our staff to undertake professional qualifications relevant to your jobs role once you have passed your three-month probation
- Employee referral bonus scheme - £1,500 bonus
- Death in service benefit at 4 x your annual salary
- Christmas party and summer events
- Loyalty bonus for all staff based on length of service.
- Additional holiday days for long service

If you are interested in becoming a part of our growing community as our **Compliance Administrator,**get in touch and click **‘APPLY’** today We would love to hear from you

Due to our continued success and plans to continue growing as a business, we are keen to discuss opportunities within AFH Wealth Management across a number of our offices. If you are not sure which opportunity would be the most suitable for you, then pleasedo make us aware of your experience and interest in joining AFH by sending your CV to.