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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