Compliance Administrator

Compliance Administrator

The Opportunity

Have you worked in a legal or technical administration role?

Do you love nothing more than policies and procedures?

If so, read on.

At Joslin Rhodes, one of the top 50 fastest growing companies in the North East*, we are always on the lookout for local talent and those who have what it takes to join our award-winning team.

Why Joslin Rhodes?

  • You would be joining a business that has been delivering happy retirements to thousands of Teessiders for over 20 years.
  • We’ve been named the ‘Best Financial Advisers to Work For’ (Professional Adviser Award 2023).
  • Full training will be provided.

About the role

As a Compliance Administrator, you would work with the Compliance Officers across our regulated businesses to ensure that we are meeting our regulatory obligations.

You will do this is by:

  • Contributing to the execution of the Compliance Monitoring Programme.
  • Maintaining all compliance registers and records.
  • Investigating and drafting responses regarding complaints throughout the business.
  • Reviewing marketing/financial promotions materials.
  • Assisting with completing regulatory submissions.
  • Developing and drafting new compliance policies and reviewing and updating existing ones.
  • Conducting reviews to assess adherence to policies, procedures and processes and implementing remedial measures where required.

This role is very much seen as one that will grow and evolve as your experience increases and is therefore a fantastic career opportunity for the right person.

We have great external compliance support teams available who you will be able to ask any questions of and seek help from as well as the senior team. So, if you don’t have experience in everything above, don’t worry, as training will be provided.

What it takes to be a successful Compliance Administrator at Joslin Rhodes:

  • You have the ability to communicate clearly and concisely on complex issues.
  • You always act with integrity.
  • You are self-motivated, reliable, organised and able to multi-task.
  • You have high standards and always do what you say you will.
  • You are able to understand, interpret and analyse technical information.
  • You are highly skilled in Microsoft Office software, (Word, Excel, Teams and Powerpoint) and have strong written and verbal communication skills.
  • You have a cool, calm head and a positive mindset.
  • You have excellent attention to detail and take pride in your work.
  • You are adaptable to change with the ability to work under the pressure of deadlines.
  • It would be beneficial but is not essential if you have an understanding of governance and control frameworks and a knowledge of the Financial Conduct Authority (FCA) rules and guidance, data protection and other regulatory bodies.

Added Benefits:

At Joslin Rhodes, we’re not short on these.

Here’s just a few things that every team member is eligible to receive.

  • Private Medical Insurance
  • Pension Contributions
  • Income Protection
  • Life Insurance
  • Health Cash Plan & Health Checks
  • Holidays (starting at 25 days) & Holiday Buy & Sell Scheme
  • Complete PlanHappy Lifestyle Financial Planning Training
  • Voucher Awards & Gifts for ‘Hero of the Week’ and our ‘Glenn Warwick’ winners

Interested? Want to find out more?

If you’d like to apply for our Compliance Administrator role, you simply need to send an up-to-date CV and a brief cover letter explaining why you feel you’re right for the job to

Alternatively, if you’re interested in finding out more about us, you can also register to attend on our Discovery Sessions.

These are group events held at our Teesside branch in Preston Farm, Stockton.

You’ll be able to look around, hear more about our service and how it works and get more information on some of the other roles we can offer such as Paraplanners, Client Service Administrators and Financial Planners.

Register today

*Ward Hadaway – Fastest 50 North East 2023

Job Type: Full Time
Job Location: Stockton

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