Vacancy Information

Reference ID	199538
Job title	Regulatory Compliance Administrator	Number Required	1
Firm	Search and Select Recruitment Agency	Hours	Full Time
Address	1 Upper Church St	Duration	Permanent
Contact	Search and Select Recruitment Agency	Salary	To be advised
Tel No		End Date	13 May 2024
Number Required	1
Hours	Full Time
Duration	Permanent
Salary	To be advised
End Date	13 May 2024
Notes	Our client seeks a Regulatory Compliance Administrator to join their team. Key Responsibilities: Ensure queries are dealt with effectively, including taking telephone messages for another team member. Ensuring appropriate service standards and company policies and procedures are adhered to at all times. Assist with scanning, photocopying and filing as appropriate. Arranging meetings, training sessions and taking notes when required. Assist with the preparation of board or committee packs and for Regulatory Visit & Audits as directed. Ensure efficient and the highest quality of service is provided to internal and external clients in accordance with company service standards. Assist with the risk screen alerts and/or internet searches. Regulatory Reporting. Assist with the preparation of various regulatory submissions, including those to the Financial Services Authority (FSA), the ICAEW and any other submissions where appropriate or instructed to undertake. Duties include: Assist with the collation and analysis of statistical information to ensure accurate information is gathered. Assist in the preparation of the statistical regulatory returns with data for manager review. Raise any potential issues / risks in a timely manner to line management. Assist in the CMP testing to ensure compliance with various regulatory requirements, internal policies and procedures and escalating potential risks whilst managing actions arising on a timely basis. Where instructed, complete compliance monitoring testing within predetermined timeframe ensuring evidence of testing has been undertaken in the form of an appendix so that issues can be identified easily. Write up a report of the testing ensuring where there are identified issues these are appropriately documented for review by management as well as noting what is going well. Assist with arranging meetings with risk owner to discuss findings and propose remedial actions and taking appropriate notes of the meeting. Follow up actions with risk owners to ensure responses are received in the agreed timeframe. Maintain the CMP register ensuring it is up to date at all times. Ensure risk registers and associated files are being maintained and outstanding actions are followed up. FSA notification register - claims, service of notice etc. PEP register - record new PEPs, set up folders, annual reviews are being undertaken. Gift and Receipts register - conduct an initial review upon receipt and escalating any potential risks to line manager. Logging and scanning the paperwork and acknowledging receipt. Escalate any issues or difficulties where encountered, this maybe to the respective Team Leader and if required to hold meetings for further discussion Key Skills and Experience5 GCSEs grade A-C (English & Maths essential)2-3 years' experience in the Compliance & Risk field. General knowledge of the Isle of Man FSA regulatory framework and regulations. Possess or studying a relevant compliance qualification. If you have the required skills please apply online at searchandselect.com quoting reference number: 14606

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