My client, a leader in the Wealth industry is seeking a Compliance Administrator to mitigate risk for the company by ensuring that advisors are providing suitable advice to clients, according to client needs and risk appetite; ensuring that all advisors are Fit and Proper, and relevant documentation is completed in order for the advisors to perform their roles.

Responsibilities:

Compliance review of all NewBusiness and Servicing cases submitted for the Group
Submission of Fund Selection and Withdrawal cases to various providers
Maintaining and Administering the Representative Register
Maintaining and Administering the Competency Register (e.g.CPD and Supervision tracking)
Fit and Proper checks for New Wealth Managers
Ensuring all New Wealth Managersare provided with a "Starter Pack" (e.gRep Disclosures drawnup, RMCP Emails to be sent, Submission ofMasthead Applications, Drawing up of Supervision Forms)
Ensuring all Quarterly declarations havebeen sent and received
Assisting new Para-planners with pre-checking and training on Client Advice Records
Assisting terms of business with various Product Providers
Assisting re-allocation of clients when a Private Wealth Manager resigns
Assisting Compliance Manager with complaint investigation and resolution
Data analysis for the purpose of resolution to investigations

Requirements:

5 years Onshore experience in the wealth management industry, with Offshore experience (advantageous)
Matric
RE5
Compliance related course/qualification
Computer literacy (MS Word, Excel, Outlook - intermediate)
Excellent communication skills (verbal and written)
Analytical
Proven ability to meet and understand compliance req

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