Our client, an expanding wealth solutions specialist are looking for an experienced Compliance Administrator to join their small but dynamic team.
The role would suit someone with a foundation in finance with a genuine interest in compliance, operations and risk management. If you consider yourself a self-starter, able to multi-task, challenge where necessary and identify efficiencies as well as able to demonstrate excellent organisational and communication skills. Attention to detail is an imperative, as the role will include compliance monitoring, liaising with the Investment and trust teams and participating in monthly face to face meetings. You would also maintain the action point register and request monitoring information from trusts and investment teams as required. There would be a requirement for you to collate CMP reporting to the MLCO, line managers and directors. Maintenance of the compliance registers including breaches, complaints, outstanding CDD etc.
A key part of this role would be to act as Acting as a bridge between compliance and investment operations and assist with the on-going development and implementation of the compliance monitoring program. Together with being able to coordinate with the team on outstanding compliance, operations and risk matters whilst ensuring that compliance registers are up to date.
Please note that we can only accept applications from individuals who hold either entitled or entitled to work residential status at this time.
For further information please contact Faron Le Prevost on 01534 753009 or alternatively send your current CV and any additional information by e-mail to faron.leprevost@ap-personnel.com
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