Compliance Administrator

Compliance Administrator – Permanent – Chippenham – £26,000 per year

Role Title: Compliance Administrator

Reporting To: Customer Outcomes Manager

Purpose of the role:

Working within the Compliance Review Team and reporting to the Customer Outcomes Manager, the role holder is required to support the Compliance Department using a variety of online systems, liaising with head office and field-based staff.

Main accountabilities of the Compliance Administrator:

* To issue and record the results of satisfaction survey questionnaires distributed to customers of the Appointed Representative network. – Sample checking by Manager.
* To review case files to determine whether remedial actions raised by the Compliance Review team appear to have been completed and highlighting them for revisiting by the relevant Compliance Review Team member – Manager review.
* To email reminders to Appointed Representatives that remedial actions are overdue on cases where no changes have been applied.- Manager review – Feedback from Compliance Review Team.
* To close remedial action events in Competent Advisor and updating the Remedial Action Report – Manager review – Feedback from Compliance Review Team.
* To assess which advisers have business available for checking to satisfy the monthly file check requirements.- Manager review – Feedback from Compliance Review Team.
* To perform a reconciliation of month end figures for the Compliance Review team. – Manager review.
* To act as secretary during Compliance Review Team meetings, including taking and circulating minutes to involved or interested parties. – Manager review.
* Deal with daily emails and telephone queries – Feedback from the Compliance Review Team – Manager review.
* To assist in the development of a workflow controls processes and pre-vet cases before referring them to a Compliance Review Team member for checking.
* To provide administrative support to the Compliance Review Team and contribute to the team as a whole via interaction and support as required. – Manager Review – Feedback from the Compliance Review Team.

Skills / experience of the Compliance Administrator:

Essential
* Good IT skills – MS Outlook, Word and Excel.
* Previous administration experience.
* Ability to work well within a team.
* Good written and oral communication.
* Ability to take ownership for workload and work to set quality and timeframe standards.

Desirable
* A good educational background is required.
* Qualifications – CF1 or CeMAP 1 is of benefit but not essential.
* Financial services experience an advantage.