About the Role
This is an excellent opportunity for a professional Senior Administrator seeking a new challenge in a well-established and successful independent fiduciary.
The purpose of the role is to provide day to day compliance administration support to the Client Services and Fund teams, including CDD reviews.
If you have previous experience of working in a similar regulatory environment and the ability to produce quality work to strict deadlines, then we want to hear from you.
- Assist client facing teams in determining CDD requirements and reviewing CDD.
- Refer non-standard CDD issues to the Compliance Manager for review.
- Undertake client file reviews to ensure compliance with requirements.
- Assist with preparation of regulatory returns.
- Assist with reviewing new advertising/promotional material for adherence to applicable regulations.
- Assist with reviewing Fund Governance, Scheme Particulars / Offering Documents for adherence to applicable regulations.
- Assist with Intermediary/Fund broker appointment process and review ongoing Intermediary/broker arrangements.
- Help promote an effective Compliance and Risk Awareness culture.
Ability to produce quality work to strict deadlines
Technical knowledge of fiduciary structures
Technical knowledge of Funds
Demonstrable robust communication skills
Accurately complete administrative and technical work
Self-motivated with a structured approach to work
Identify and analyse problems by interpreting data available
A team player with ability to communicate with all levels
Knowledge and expertise required to undertake the role – Essential
Experience of fiduciary and funds service operations
Experience of compliance, risk and/or internal audit operations
Understanding of regulatory regimes
Experience and qualifications – Essential
Educated to Degree level
Previous experience of working in a similar regulatory environment
About the Company
An industry leader who cherishes their independence and long, stable heritage. Focusing fully on the needs of their clients, providing flexible solutions to their wealth planning needs with integrity and impartiality. At the same time, keeping fully abreast of and adapt to the many changes affecting the global environment in which clients need to continue to create and protect their wealth.