Compliance Administrator
Schroders
Horsham, UK
Published 4 months ago
Compliance Management Systems / Technology
About Benchmark
Our award-winning, proprietary solutions cover regulatory, platform and investment services, and are designed to support advisers at every step of their journey - from starting and running a financial advice business more productively and effectively, to accelerating its growth and realising its value. We support high quality financial advisers with our award-winning technology and support services.
And with our own Financial Advice business, we help families find solutions to meet their needs and aspirations and achieve peace of mind. By providing access to higher quality solutions, we make it easier for them to meet and exceed their goals.
Ensuring good client outcomes, with the client's interests central to decision making, is very important at Benchmark. Treating Customers Fairly principles are embedded within our organisation and we take responsibility for embracing and promoting our duty of care to all clients, including those who may be more vulnerable than others.
The base
You'll be based at our Schroders Business Campus near Horsham in West Sussex. It has high standards and international reputation, without being in the city: a big, countryside campus means life will feel a little different. We support our offices by using cutting edge software and hardware and our spacious campus facilities mean there's a great working environment for the team. With an on-site restaurant, coffee shop and gym, our campus has much to offer. And commuters can relax on our dedicated regular shuttle bus to and from Horsham's main line train station.
What you'll do
• Assist and support the Compliance team in administering the supervisory scheme across the Network
• Undertake "focused" file checks for the Network's AR firms, maintaining accurate records of findings and communicating them to the team within desired timescales
• Undertake Monthly, Quarterly, Biannual and Annual tasks to assist with the Compliance Function across the Network.
• Attend Compliance Team Meetings and add to discussion as appropriate
• Undertake supporting administrative tasks for the Compliance and Membership teams as required
• Liaise with the team on associated tasks and projects, and provide constructive input
• Liaise effectively and confidently with senior management
• Technical Support and Regulatory Role Analysis in support of Compliance Director
• Take on tasks and projects as requested by the Compliance Supervisors, Manager and Director with a can-do attitude and a timely approach
• Update manuals, procedures and Network documentation as directed by senior management
• Complete tasks to a high standard, and apply initiative to accommodate for wider issues
The knowledge, experience and qualifications you need
• A good level of Financial Services industry experience, preferably in a retail/IFA environment
• Some understanding of FCA rules and their interpretation/application
• Strong analytical, observational, written and communication skills
We're looking for the best, whoever they are
Our purpose is to provide excellent client outcomes and service. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background or any other protected characteristics.
Our award-winning, proprietary solutions cover regulatory, platform and investment services, and are designed to support advisers at every step of their journey - from starting and running a financial advice business more productively and effectively, to accelerating its growth and realising its value. We support high quality financial advisers with our award-winning technology and support services.
And with our own Financial Advice business, we help families find solutions to meet their needs and aspirations and achieve peace of mind. By providing access to higher quality solutions, we make it easier for them to meet and exceed their goals.
Ensuring good client outcomes, with the client's interests central to decision making, is very important at Benchmark. Treating Customers Fairly principles are embedded within our organisation and we take responsibility for embracing and promoting our duty of care to all clients, including those who may be more vulnerable than others.
The base
You'll be based at our Schroders Business Campus near Horsham in West Sussex. It has high standards and international reputation, without being in the city: a big, countryside campus means life will feel a little different. We support our offices by using cutting edge software and hardware and our spacious campus facilities mean there's a great working environment for the team. With an on-site restaurant, coffee shop and gym, our campus has much to offer. And commuters can relax on our dedicated regular shuttle bus to and from Horsham's main line train station.
What you'll do
• Assist and support the Compliance team in administering the supervisory scheme across the Network
• Undertake "focused" file checks for the Network's AR firms, maintaining accurate records of findings and communicating them to the team within desired timescales
• Undertake Monthly, Quarterly, Biannual and Annual tasks to assist with the Compliance Function across the Network.
• Attend Compliance Team Meetings and add to discussion as appropriate
• Undertake supporting administrative tasks for the Compliance and Membership teams as required
• Liaise with the team on associated tasks and projects, and provide constructive input
• Liaise effectively and confidently with senior management
• Technical Support and Regulatory Role Analysis in support of Compliance Director
• Take on tasks and projects as requested by the Compliance Supervisors, Manager and Director with a can-do attitude and a timely approach
• Update manuals, procedures and Network documentation as directed by senior management
• Complete tasks to a high standard, and apply initiative to accommodate for wider issues
The knowledge, experience and qualifications you need
• A good level of Financial Services industry experience, preferably in a retail/IFA environment
• Some understanding of FCA rules and their interpretation/application
• Strong analytical, observational, written and communication skills
We're looking for the best, whoever they are
Our purpose is to provide excellent client outcomes and service. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background or any other protected characteristics.