Compliance Administrator
An opportunity to join AFH Wealth Management, one of the UK s leading independent financial advisory and wealth management firms.
We are looking for individuals who wish to grow with us as a business and support our strong growth plans, with hybrid working. This is a full-time permanent opportunity and in return, you will receive a competitive salary and range of benefits.
Please apply today to register your interest in joining the team.
As our Compliance Administrator, you will typically:
- Assist with the regulated recruitment process, including application, referencing and certification of regulated individuals within the business.
- Support the effective delivery and ongoing monitoring of Training and Competence within the business.
- Support the co-ordination of the training system and assessment construction, including collation of results and exam MI
- Support the adviser bonus process, validating collated information and answering queries
- Collate relevant information pertaining to client rights under data protection legislation
- Complete third-party due diligence to support various compliance processes
- Assist with the allocation of workflow and query management within the department
- Formulate RI contracts and introducer agreements
As part of the role, you will also:
- Communicate effectively with clients, candidates and internal stakeholders, both verbally and in writing
- Ensure that all regulatory and internal requirements relevant to your role are satisfactorily adhered to in a timely manner
- Maintain records to a high standard of accuracy
- Produce MI relevant to duties undertaken where necessary and assist in the collation of Department MI as instructed
- Assist in the development of regulatory templating for both complaints and training and competence.
- Carry out any other departmental function as required
What we are looking for in our ideal Customer Care Technician:
- Good communication skills
- A good standard of written and numerical skills
- A high level of accuracy and attention to detail
- Good organisational and prioritisation skills
- Good IT skills
- Ability to work independently and on own initiative, where required
- Ability to work to tight deadlines
- Experience of working within a fast-paced environment
Benefits and Perks at AFH
- Flexible working & holidays - Enjoy flexible working and competitive holiday allowance, with annual buy & sell scheme options and your birthday off. Plus, additional holiday days for long service.
- Social perks - To recognise and celebrate employees' great work we are all invited to our annual Christmas and Summer parties.
- Pension - We offer a contributory pension scheme with Royal London as well as death-in-service benefit.
- Bonus scheme - All AFH employees are offered a competitive salary and a discretionary annual bonus, following completion of a year s service.
- Health and wellbeing - The MediCash app puts your health in the palm of your hands. Claim cashback on a wide selection of health and wellbeing initiatives, including discounted health club memberships and free healthcare benefits.
- Professional development - We are committed to helping you reach your potential by offering tailored learning and development programmes to pursue your career goals.
- Shopping discounts - Our employees can choose from many retailers to get discounts or cashback on everyday purchases from our favourite high street clothing stores to our go-to supermarkets, as well as access to free online training courses.
To learn more about this opportunity and the culture of AFH Wealth Management, please visit our Careers website (url removed)/ or email the People Resourcing team via (url removed). We look forward to hearing from you!
