As a Compliance Administrator you will be responsible for performing basic administrative tasks, assisting with compliance documentation, compliance and audit activities for the onboarding of potential new IARS, ensuring effective and timely compilation, monitoring and recording of data and documentation.
Job Overview:
* Daily monitoring of our Field Sales Representatives diaries to identify new compliance and
due diligence checks required
* Checking the legitimacy/solvency and Fit & Proper status of new business leads using a number of search engines and industry specific search providers
* Identifying compliance ‘red flags’ and escalating as required
* Completion of ‘Compliance Workflow’ with the information gathered
* Checking all required regulatory documentation and identification is received with new contracts
* Carry out Know Your Customer (KYC) and Anti Money Laundering (AML) checks
* Input of new contracts onto bespoke CRM
* Carry out Compliance telephone call with new clients
* Follow up completion of new client application data
* Follow up of initial and routine training by new customers
* Carry out routine compliance checks on existing customers to ensure compliance is maintained
* Process daily Credit Safe Monitoring Alerts
Training to be provided
* L3 BTEC Diploma in Business Administration
About Ideal4Finance T/A Ideal Sales Solutions Ltd
Ideal4Finance are an FCA regulated retail, consumer, and commercial finance brokerage. Established in 2008 to level the playing field for SME retailers and manufactures offering finance to their customers. Based in the Northwest with a UK-wide focus we are one of the largest independent financial services businesses arranging consumer and retail finance.
#J-18808-Ljbffr