Compliance Administrator
2 days ago
Newcastle-under-Lyme
Oakley Recruitment is working in partnership with an expanding organisation based in Newcastle-under-Lyme. This is an excellent opportunity to join the team as a Compliance Administrator on a full-time permanent basis Culture and Environment Our client culture is supportive, friendly and welcoming, the team share best practices and have a great working relationships. Often going out as a team socially. The environment is a corporate office space with a modern feel. Personality Our client is looking for an individual has experience working within the Independent Financial Planning Industry. Someone who is adaptable, dependable and enthusiastic. You will be supporting Compliance Officer and wider Compliance team, providing an efficient, high quality and compliant service to the business as its stakeholders. Reward 23 days holiday including bank holidays, increasing in length of service to 25 days Contributory pension Sick pay probation (4 weeks) Life insurance Virtual doctor and mental health appointments Salary sacrifice Employee Assistance Programme Hybrid working with 1-2 days at home (based on experience) Job Role: Performing risk assessments to understand risk level, significance and scope Keeping up to date with, and understand, relevant laws and regulations Monitoring compliance with laws, regulations and internal policies Managing voluntary best practice relating to professional standards Ensuring that your findings are recorded and followed up with management so that issues can be rectified Educating employees on regulations, and the impact on the organisation Investigating irregularities and non-compliance issues Involvement with various compliance reporting Highlighting or escalating areas of concern Contributing to robust and effective compliance controls within the organisation Reviewing marketing materials, presentations and websites to ensure compliance with regulatory requirements Assisting in the gathering of internal information in response to regulatory requests Collaborating with other departments and Central Compliance Team to create a culture of compliance Assisting with client meetings Attending and assisting with facilitating the risk committee Assisting in completion of annual Money Laundering Officers Report and Compliance Officers Report Ensuring all of policies and procedures are up to date and fit for purpose Supporting in preparation for annual compliance audit and provide assistance with any actions that arise from the audit Assisting with the resolution of any complaints received & undertake route cause analysis Skills and experience: Critical problem-solving Ability to analyse and interpret information quickly Team working and collaboration Ability to use systems and processes Prioritisation Demonstrate honesty and integrity Please Note: We do not contact or write to unsuccessful candidates. If we have not contacted you within 48 hours of your application, you should presume that your application was unsuccessful. By applying for this vacancy, you are permitting for Oakley Recruitment to contact you and retain your details. In compliance with the regulations (April 2004) in place under the Employment Agencies Act, Oakley Recruitment will require proof of identification. A copy of your passport, birth certificate and NI number will be required, as part of your interview process. TPBN1_UKTJ
