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Compliance Administrator

Manchester, GB, M3 3HF

Purpose of the Job

Brown Shipley are on the look out for a Compliance Administrator to join the Compliance team in our new office in Manchester.

We’re excited to move to No.1 Spinningfields, which provides us with a modern, high specification workspace which will best meet the needs of clients and colleagues alike. We will be working more flexibly as the ‘new normal’, with a different balance of home working along with time in the office, which will be reflected in the office design. This is a fantastic development for us and a firm commitment to the region as we reinforce our position as one of the leading Private Banks in the North West of England.

The successful candidate will make a key contribution to the delivery of the Firm’s second line Compliance Oversight and Assurance activities; by ensuring that the fundamental building blocks of organisation, record keeping and reporting are in place and effective. While reporting to the Compliance Monitoring Officer this role will enjoy the opportunity to work across all three sections of the Compliance Department, these being: Monitoring, Advisory, Training & Change Management.

This is a fantastic opportunity for a technically minded, driven candidate and is an apprenticeship supported position to help drive your true potential.

Key Accountabilities

Reporting – Responsible for coordinating and collating data in support of the departments regular and ad-hoc reporting obligations, both to internal and Group stakeholders.

Compliance Monitoring Programme – Engaging with the business to collate testing data/material, one month ahead of testing. Responsible for updating the CMP to reflect the results of monitoring, and reporting this to reporting centres within Quintet Private Banking Group. Facilitating the annual gap-analysis of the FCA handbook by Compliance Monitoring Officers.

Compliance Register Management – Maintenance of the firms’ key compliance registers. These include:, conflicts of interest, compliance breaches, the Insider list, and gifts and hospitality. Adding new entries and chasing closure of actions from key business stakeholders. Organising meetings with Compliance Managers to review and approve new updates. Managing successful delivery of the firm’s biannual attestation programme.

Compliance and Audit Actions – To produce compliance action reports for the Executive Committee while sending out practical reminder emails to action owners. To maintain business actions register for the Compliance Team and maintain awareness of deadlines and ownership within the team in respect of any Audit Actions the Compliance Team may have.

Training and Development – To support the team’s training, development and implementation work. This will include being the administrator of the e-learning system / tracking and reporting on completion of training by staff. / Taking content and tests and reproducing these in an e-learning format for approval.

PA Dealing – To record and test all PA dealing submissions and engage with staff as appropriate to ensure PA dealing is accurately recorded and properly challenged in accordance with internal procedures and firm policy.

Market Abuse Monitoring – To coordinate the upload of data to the market abuse system to support the team’s monitoring of market abuse alerts.

Internal Procedures and Record keeping – To update internal procedures. This will be either updating procedures for activates you undertake or assisting the management team update or create new procedures to document the internal processes of the team. You will proactively review the existing departmental folder structure and development and implementation of an orderly and efficient processes within the Compliance Department.

Other Duties - Carry out any other duties as may reasonably be required, including assisting team members in the recording of monitoring data, answering phone calls. Participating in testing, advisory and implementation activity as part of professional development.

Knowledge and Experience

-Working with data and understanding the importance timely and consistent
management information.
-Working within an environment where data capture and presentation is fundamental requirement.
-Working within an environment where orderly record keeping is essential.
-Working within an environment where an understanding of the rules which govern your work within and which shape the way the firm, senior management and staff all work and conduct themselves.

Attributes and Qualities

Ability to work cooperatively and positively within the team and across the business to engage stakeholders in a positive way with a focus on delivering outcomes.
To work and conduct yourself with skill, professionalism, discretion and values befitting a member of the Compliance Department.
Ability to engage people effectively in order to recognise and achieve agreed outcomes.
Excellent record keeping - use of ascribed folders, naming conventions, dating and version control – required to create a lasting and robust records upon which the senior managers can rely.
Effective diary and work management

Technical Skills

Excellent written, verbal, numeric and comprehension skills
Industry specific qualifications are not pre-requisite but the candidate must be willing to study for a minimum level 3 Compliance Apprenticeship.
Proficient in using MS Office – Word and Excel to a level commensurate with excellent report writing and data analysis. – This role involves processing and analysing data for use in monitoring and reporting

Languages Skills

Fluent English and any European language would be advantageous