Network and Compliance Administrator

Network and Compliance Administrator

Reporting to: Head of Compliance

Salary: Competitive, dependent on experience

Contract type: Full Time (35 hrs per week), Permanent

Location: Newark, NG24 1BS (remote/hybrid working)

Who are we:

Fiducia Commercial Network is a trading name of The Fiducia Network Ltd which is a commercial finance 'Appointed Representative' (AR) network. Our mission is to evolve, manage, and maintain the network of choice for the commercial finance broker with a duty of care, best customer outcomes and the needs of the SME at the heart of all they do.

Building long-term broker-client relationships in an industry that has for far too long been just about the transaction. Quality support from qualified professionals, offering evidence-based guidance for all business in all sectors, going through the many and varied stages and phases of running a business.

The Role:

The Network and Compliance Administrator is responsible for supporting effective onboarding and ongoing administration of Appointed Representatives (AR's) within the Network. This role also provides essential assistance to the Compliance team, ensuring adherence to regulatory and compliance requirements in line with relevant frameworks, policies, and standards. The ethos of the compliance team is to support the health of the business and protect consumer outcomes with expert knowledge, support, and challenge.

Key Roles & Responsibilities:

• Monitor the firm's appointed representatives, ensuring all relevant regulatory requirements are met through client file checking.
• Support Operations Manager and Network Managers administrative duties as required.
• Ensure the firm's prospective appointed representatives are effectively and efficiently on-boarded.
• Complete tasks within the compliance monitoring plan.
• Maintain the 'White documents' used by the appointed representatives and ensure they are kept up to date, and the appointed representatives are aware of any changes made.
• Maintain the firm's compliance with Consumer Duty and report any concerns to the Head of Compliance.
• Research customer complaints and queries in line with the firm's Consumer Duty obligations.
• Complete data related queries in line with the firm's Data Protection obligations.
• Assist with answering queries raised by the appointed representatives in a timely manner.
• Feeds data and narrative to the Head of Compliance and ensure these are of high quality and accurate.
• Comply at all times with the Compliance Training & Competence Scheme of the firm.
• Comply at all times with the requirements of the Financial Services and Markets Act 2000, and the FCA Principles, Code of Practice.

Required Qualifications/Expertise:

• Experience in a similar role and a passion for providing exceptional customer service.
• Experience of managing workloads and administration with a proven track record of multi-tasking and working to deadlines.
• Work in a consistent and compliant manner to FCA standards.

Technical:

• Excellent attention to detail.
• Ability to understand data.
• Good presentation and communication skills.
• Proven ability to maintain and build strong collaborative working relationships.
• Good organisational skills.
• Good ability to prioritise workload.
• Strong skills in Microsoft Office and general IT.
• Interest in finance and compliance.

Behavioural:

• Excellent written & Verbal communication skills.
• Experience of collaborating with internal and external stakeholders.
• Proven planning ability - identifying priorities and actions to assist in delivering results.
• Personal resilience and ability to respond positively to pressure.

Interested? Please apply with your updated Cv.

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