What are the responsibilities and job description for the Compliance Administrator position at Schroders Recruitment?
About Benchmark
Benchmark provides award-winning, proprietary solutions that encompass regulatory, platform, and investment services. Our offerings are designed to support advisers at every stage of their journey—from effectively starting and running a financial advice business to accelerating its growth and realising its value. We empower high-quality financial advisers with leading technology and support services.
Through our Financial Advice business, we assist families in finding tailored solutions to meet their needs and aspirations, helping them achieve peace of mind. By offering access to superior solutions, we enable clients to meet and exceed their goals.
Ensuring positive client outcomes, with the client's interests at the forefront of decision-making, is crucial at Benchmark. Our commitment to the Treating Customers Fairly principles is embedded in our organisation, and we take responsibility for promoting our duty of care to all clients, particularly those who may be more vulnerable.
The Base
You will be based at our Schroders Business Campus near Horsham in West Sussex. The campus is renowned for its high standards and international reputation, offering a refreshing countryside setting away from the city. Equipped with cutting-edge software and hardware, our spacious facilities provide an excellent working environment for the team. Enjoy on-site amenities including a restaurant, coffee shop, and gym. Commuters benefit from our dedicated shuttle bus service to and from Horsham's main line train station.
What You'll Do
- Assist and support the Compliance team in administering the supervisory scheme across the Network.
- Conduct focused file checks for the Network's AR firms, maintaining accurate records and communicating findings within desired timescales.
- Undertake monthly, quarterly, biannual, and annual tasks to support the Compliance Function across the Network.
- Participate in Compliance Team Meetings and contribute to discussions as appropriate.
- Perform supporting administrative tasks for the Compliance and Membership teams as required.
- Collaborate with the team on associated tasks and projects, providing constructive input.
- Communicate effectively and confidently with senior management.
- Provide technical support and regulatory role analysis in support of the Compliance Director.
- Tackle tasks and projects as requested by the Compliance Supervisors, Manager, and Director with a positive, timely approach.
- Update manuals, procedures, and Network documentation as directed by senior management.
- Complete tasks to a high standard, applying initiative to address wider issues.
The Knowledge, Experience and Qualifications You Need
- A good level of experience in the Financial Services industry, preferably in a retail/IFA environment.
- Understanding of FCA rules and their interpretation/application.
- Strong analytical, observational, written, and communication skills.
We're Looking for the Best, Whoever They Are
Our purpose is to provide excellent client outcomes and service. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristics.
