Compliance Administrator

AFH Financial Group.; United Kingdom; Hybrid; GBP 30,000 - 45,000; Full time

Job summary

A leading independent financial advisory firm in the UK is seeking a Compliance Administrator to ensure regulatory compliance in the recruitment process and support training initiatives. The ideal candidate will have a strong understanding of FCA T&C requirements and effective communication skills. The position offers hybrid working, competitive salary, health benefits, and opportunities for professional development.

Benefits

Flexible working & holidays

Annual parties

Contributory pension scheme

Discretionary bonus

Health and wellbeing initiatives

Tailored learning and development programmes

Qualifications

• Good understanding of regulatory recruitment process and of FCA T&C requirements.
• Ability to communicate effectively and adhere to service level agreements.
• Deliver accurate information to relevant parties in a timely manner.

Responsibilities

• Assist with the IFA recruitment process and ensure compliance.
• Produce Management Information relevant to recruitment duties.
• Support coordination of training support and record updates.
• Conduct due diligence on contracts and business agreements.

Skills

Understanding regulatory recruitment process

Effective communication

Delivery of accurate information

Job description

AFH Wealth Management is proud to be one of 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 a full‑time, permanent opportunity, with hybrid working, and a competitive salary and 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.
• 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 coordination 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 ongoing fit & proper checks for IFAs and other regulated staff: Personal Account Dealing, Gifts & Inducements, Credit checks, Assets & Liabilities updates.
• Assisting in theadeloming 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 Noah expect 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:

• fleurs Flexibility 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 ofYES. 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!