Financial Planning - Compliance Administrator - Woking - £26 - £32K + Bonus + Study Support

A long-standing client of ours who are stalwarts in the realm of Private Client Wealth Management across the South East of England is now looking for a financial services experienced administrator to step into a Compliance Administrator role supporting the Director of the business, ensuring client facing Financial Planning services are fully compliant and within the FCA regulations at all times.

Having recruited for this IFA firm for several years and placed several of their staff, we have got to know the business extremely well. They have grown organically, onboarding many new clients throughout 2022 & 2023 and have an impressive track record of internal promotion, staff development, client retention and referrals. As a result of a very successful year for both new and repeat business, they are now looking for a dedicated administrator with a sharp attention to detail and an eye for ensuring correct procedures and regulations are adhered to. This role reports directly to the company director and office manager, and you will be aiding them in the effective and smooth running of the compliance function. Duties will include being involved in a thorough review of all current processes, systems, and making recommendations on possible changes, then assisting as new policies are rolled out across the business.

Once this review is complete, you will work closely with all staff to ensure they are fully up to date and compliant in all facets of their daily duties and keeping in line with new regulations and procedures. As the role is working directly with Senior Management the holder of the role will require excellent interpersonal skills and be able to deliver complex information in a simple to understand manner.

Additional duties will be to conduct file reviews, on-board new staff and keep up to date records to staff’s CPD, T&C and regulatory returns. If you are looking for a fresh challenge within a firm that truly supports and appreciates their staff, then this would be an excellent new move for you. The firm offer an excellent benefits package along with a very friendly and supportive working environment. To be eligible for this role, you will need to have worked within Financial Services for at least a year and have previous experience of compliance within an FCA regulated environment.

To apply for this role, please send a copy of your CV to Ryan Wootten