Compliance Administrator Job at 360 Resourcing Solutions (Bromsgrove)

Compliance Administrator

360 Resourcing Solutions

Location:
United Kingdom , Bromsgrove

Category:
Finance

Contract Type:
Not provided

Salary:

Not provided

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Job Description:

AFH Wealth Management is proud to be one of the UK’s leading independent financial advisory and wealth management firms. We believe that our success starts with our people. If you are determined to succeed and eager to take on new challenges, you’ll find a variety of exciting career opportunities at AFH. This is a full-time, permanent opportunity, with hybrid working, and a competitive salary and range of benefits.

Job Responsibility:

Assisting with the IFA recruitment process, ensuring that all regulatory and internal requirements are satisfactorily adhered to in a timely manner
Assisting where necessary with the communications to recruitment candidates and Business Development on a regular basis
Ensuring that all necessary records are updated to reflect current recruitment status
Producing Management Information, where necessary, that is relevant to the duties undertaken
Collating regulated induction packs for staff and advisers and updating the relevant records
Supporting the in the co-ordination of the training system and assessment construction, including collation of results and exam MI
Working closely with the firm’s Training Manager to ensure that regulated training requirements for staff are met
Assisting with administering annual and on-going fit & proper checks for IFAs and other regulated staff: Personal Account Dealing, Gifts & Inducements, Credit checks, Assets & Liabilities updates
Assisting in the development of all Training & Competence regulatory templating and in the research of Personal Account Dealing queries
Ensuring that T&C records fully reflect the work conducted and are thorough and legible in nature
Conducting necessary due diligence on all 3rd party provider & introducer terms of business and submit for authorisation
Conducting RI contracts and introducer agreements once full due diligence has been completed and checked and to manage the process of the contract being put into force

Requirements:

Good understanding of regulatory recruitment process and of FCA T&C requirements
Communicating effectively, ensuring that SLAs are adhered to
Delivery of accurate information to relevant parties

What we offer:

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

Additional Information:

Job Posted:
January 06, 2026

Employment Type:

Fulltime

Work Type:

Hybrid work

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