IFA Administrator specialising in compliance

IFA Administrator, Specialising in Compliance Location: Glasgow To support the Compliance Manager to ensure the company achieves and maintains high standards of regulatory compliance in governance, operations, business, and client transactions. Responsibilities:Maintain compliance monitoring plan for group of companiesAssist Head of Compliance with administration, recording and gathering of MI.Preparation of MI and KPI on a quarterly basisData input for Reg Data reportsData input for FCA Connect applicationsData input for FCA Data Return requestsData collation, recording, and presentation for records management purposesComplaint handling and recordingBreach handling and recordingMaintain company compliance registersAssisting in the development and upkeep of policies and proceduresProvide support and assistance to any ad hoc compliance projects as appropriateEscalate any issues, risks, or concerns to the Head of Compliance as appropriateAssist Head of Compliance with annual Certification process under SMCR Skills:Experience working in a financial services environment preferably working within IFA AdministrationSomeone who has an interest to move into compliance full timeStrong written communication skillsUnderstanding of UK financial services regulationThis is an amazing opportunity for an experienced IFA Support to specialise within the compliance field. Study support will be given should you wish to complete diploma or further your education to Chartered.Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.
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