Compliance Administrator FTC

Job Description

Role Title: Compliance Administrator - Fixed-Term Contract

Client Summary:Our client is a dynamic and forward-thinking financial services group renowned for its expertise in investment strategy. With a commitment to innovation and modernization they are dedicated to upholding the highest standards of integrity and compliance across their operations. They foster a collaborative environment where progressive ideas are welcomed and employees are empowered to contribute to the companys continued success.

Job Description:Embark on a rewarding career journey with a leading financial services firm where you can significantly contribute to the integrity and operational excellence of our compliance function. This role offers a unique opportunity to work within a supportive and progressive environment playing a crucial part in safeguarding the organizations reputation and ensuring adherence to regulatory frameworks. You will gain invaluable experience in a critical business area working closely with senior management and external stakeholders. This is more than just an administrative role; its a chance to grow your career in compliance within a company that values its people and their development.

Responsibilities:

• Oversee and manage the day-to-day administration of FICA refreshes and ongoing customer due diligence processes.
• Maintain and update the client contracts database ensuring accuracy and accessibility.
• Facilitate the smooth flow of legal and compliance documents within the Invest department.
• Manage key registers including the PA trading register with meticulous attention to detail.
• Administer FAIS representatives documents and registrations ensuring compliance with all requirements.
• Address and resolve general administrative queries related to compliance and operations.
• Collaborate with the compliance manager to prepare comprehensive reports for management and regulatory bodies.
• Act as a key liaison point for internal stakeholders and external clients on compliance-related matters.
• Support the documentation of processes and procedures particularly for the KYC process to enhance operational efficiency.
• Log and track all legal agreements ensuring proper record-keeping and compliance.
• Assist with the preparation of monthly reporting to management quarterly reporting to the Board and submissions to regulators and the external compliance officer.
• Participate actively in internal improvement initiatives within the Invest department driving continuous business enhancement.
• Prepare weekly and monthly data for analysis and reporting.

Requirements:

Must-Haves:

• A Degree or Diploma in Law Finance FAIS & FICA compliance or a closely related field.
• A minimum of 2 years of experience within the financial services sector.
• Practical working knowledge of the FAIS Act FIC Act and Fit and Proper requirements.
• Excellent verbal and written communication skills with the ability to effectively liaise with diverse stakeholders.
• Exceptional attention to detail organizational and time management skills.
• Proficiency in database management and standard computer applications with strong Microsoft Excel skills.
• The ability to plan effectively and meet deadlines consistently.
• A structured approach to thinking and documenting processes.
• Demonstrated initiative proactiveness and problem-solving abilities.
• Clear and polite communication style both verbally and in writing.
• The ability to work independently while also being a strong team player.

Nice-to-Haves:

• Certification in compliance.
• Experience in an advanced administrative or support role within the Financial Services Sector.