Compliance Administrator

AFH Financial Group.; Bromsgrove; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A leading financial advisory firm in Bromsgrove is seeking a Compliance Administrator for a full-time, permanent position. This role involves assisting with IFA recruitment processes, ensuring compliance with regulatory standards, and managing training requirements. Ideal candidates should have a strong understanding of regulatory requirements and excellent communication skills. With flexible working options and a range of benefits, this is an exciting opportunity to join a dynamic team.

Benefits

Flexible working & holidays

Social perks

Pension scheme

Bonus scheme

Health and wellbeing initiatives

Professional development programs

Qualifications

• Good understanding of regulatory recruitment process and FCA T&C requirements.
• Ability to communicate effectively and adhere to SLAs.
• Deliver accurate information to relevant parties.

Responsibilities

• Assist with the IFA recruitment process, meeting regulatory requirements.
• Produce Management Information relevant to compliance duties.
• Support training system coordination and assessment construction.

Skills

Understanding of regulatory recruitment process

Effective communication

Attention to detail

Job description

• Location: Bromsgrove, Worcestershire, United Kingdom
• Salary: Competitive Salary and Benefits

Compliance Administrator

AFH Wealth Management is proud to be oneof the UK’s leading independent financial advisory and wealth management firms.

We believe that our success starts with our people. If you are determined to succeed and eager to take on new challenges, you’ll find a variety of exciting career opportunities at AFH. This is afull-time, permanent opportunity, withhybrid working, and a competitive salary andrange 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
• Assisting where necessary with the communications to recruitment candidates and Business Development on a regular basis
• Ensuring that all necessary records are updated to reflect current recruitment status
• Producing Management Information, 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
• Assisting 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
• Assisting in the development of all Training & Competence regulatory templating and in the research of Personal Account Dealing queries
• Ensuring that T&C records fully reflect the work conducted and are thorough and legible in nature
• Conducting necessary due diligence on all 3rd party provider & introducer terms of business and submit for authorisation
• Conducting 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.

What we are looking for in our ideal Compliance Administrator:

• 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.

Benefits of working for AFH Wealth Management:

• Flexible working & holidays -Enjoy flexible working and competitive holiday allowance, with annual buy & sell scheme options and your birthday off. Plus, additional holiday days for long service
• Social perks -To recognise and celebrate employees' great work we are all invited to our annual Christmas and Summer parties
• Pension -We offer a contributory pension scheme with Royal London as well as death-in-service benefit
• Bonus scheme -All AFH employees are offered a competitive salary and a discretionary annual bonus, following completion of a year’s service
• Health and wellbeing -The MediCash app puts your health in the palm of your hands. Claim cashback on a wide selection of health and wellbeing initiatives, including discounted health club memberships and free healthcare benefits
• Professional development -We are committed to helping you reach your potential by offering tailored learning and development programmes to pursue your career goals.

If you are interested in becoming a part of our growing community as our Compliance Administrator, get in touch and click ‘APPLY’ today or email us via [e-mail]. We look forward to hearing from you!