Third Party Relationship Administrator

Recruiter
Anonymous
Location
West Sussex
Salary
22000.00 - 26000.00 GBP Annual + GBP22000 - GBP26000/annum excellent
Posted
13 Jun 2017
Closes
11 Jul 2017
Category
Accounting
Function
Consultant
Contract Type
Permanent
Hours
Full Time
Compliance & Training Supervisor

to GBP40,000 + benefits

West Sussex

Excellent time to join expanding wealth management group.
Role outline:

•Maintaining oversight and control of registered advisors.
•Monitoring AR firms, coaching and mentoring approved persons, both on-site and remotely, ensuring full compliance with regulatory rules and Network procedures.
•Applying a risk-based approach to compliance monitoring.
•Undertaking file reviews, ensuring findings are accurately recorded.
•Undertaking KPI reviews, identifying trends and risks.
•Testing and supervising new joiners.
•Ensuring that financial promotions are approved and in accordance with FCA rules.
•Working alongside Compliance Director to support project work.

Skills & experience required:
•High level relevant Compliance/T & C experience gained within a network of Financial Advisers.
•Detailed knowledge of FCA rules and their interpretation/application.
•Strong analytical and observational skills.
•Minimum of level 4 Diploma in Financial Planning; progress towards Advanced Diploma/Chartered Status is an advantage, and the company is highly supportive of professional study.

Central town location - easy access for train station, with good commuting links from various locations in East and West Sussex