Job description
IFA Administrator, Specialising in Compliance
Location: Glasgow
To support the Compliance Manager to ensure the company achieves and maintains high standards of regulatory compliance in governance, operations, business, and client transactions.
Responsibilities:
1. Maintain compliance monitoring plan for group of companies
2. Assist Head of Compliance with administration, recording and gathering of MI.
3. Preparation of MI and KPI on a quarterly basis
4. Data input for Reg Data reports
5. Data input for FCA Connect applications
6. Data input for FCA Data Return requests
7. Data collation, recording, and presentation for records management purposes
8. Complaint handling and recording
9. Breach handling and recording
10. Maintain company compliance registers
11. Assisting in the development and upkeep of policies and procedures
12. Provide support and assistance to any ad hoc compliance projects as appropriate
13. Escalate any issues, risks, or concerns to the Head of Compliance as appropriate
14. Assist Head of Compliance with annual Certification process under SMCR
Skills:
15. Experience working in a financial services environment preferably working within IFA Administration
16. Someone who has an interest to move into compliance full time
17. Strong written communication skills
18. Understanding of UK financial services regulation
This is an amazing opportunity for an experienced IFA Support to specialise within the compliance field. Study support will be given should you wish to complete diploma or further your education to Chartered.