Compliance Administrator/Executive

Job Ref: 88524
Sector: Administrators
Job Type: Permanent
Date Added: 12 July 2019
  • Guildford, Surrey, England 129 high street Guildford Surrey GU1 3AA
  • £20,000 - £25,000 per Annum
  • Tate
  • 01483 533707

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** Compliance Administrator/Executive **


£20K - £25K

Guildford, Surrey

Our client is a leading financial services company based in Guildford. They currently have an exciting opening for a Compliance Administrator/Executive.

Responsibilities will include:

  • Follow the firm's procedures and guidelines to complete client due diligence on new and existing clients in accordance with internal procedures and regulatory requirements using the firm's own software platform.
  • Draft engagement letters for new and existing clients using the firm's standard template, ensuring they are signed by both parties and returned
  • Act as a point of contact for compliance enquiries from clients, partners and colleagues and refer these on where necessary
  • Refer any requests from clients to change Ts and Cs to the Senior Compliance Executive or Compliance Manager so they can raise with the Engagement Partner and legal team and co-ordinate responses with client until an agreement is reached
  • Ensure compliant with GDPR and that the correct documentation is in place if third-parties are involved
  • Assist payroll teams with client disengagement and compliance related communications with clients
  • Make changes to client details and engagements on the firm's practice management system
  • Ensure all documentation is filed correctly (paper & electronic) and maintain client folders on the network drive
  • Any other duties as requested by the Compliance Manager and Head of Compliance


  • Business fluency in written and verbal English
  • GCSE Maths and English Language at Grades A to C (or equivalent)
  • Excellent proficiency in MS Office applications
  • Proven office work experience
  • Excellent attention to detail
  • Hard working and conscientious
  • Pleasant, approachable, patient and polite
  • Able to meet deadlines, prioritise work and work under pressure with accuracy and focus
  • Performance driven and results orientated; strong problem solver
  • Confident and pro-active in communicating with people at all levels
  • Show initiative and work well within a team environment
  • Able to communicate tasks ensuring they are clearly understood
  • Willing to go the extra mile in order to meet client requirements, solve their problems and meet their deadlines
  • Able to research independently and work alone
  • Willing to learn new tasks and take on new responsibilities where needed
  • Strong organisational and time management skills
  • Constructively challenge decisions
  • A degree is not essential for this role and no professional qualifications are required
  • Desirable Skills/Experience
  • Previous Onboarding experience
  • Experience of working in a professional services firm
  • Understanding of payroll
  • Business development or account management experience

For further details, please contact the Guildford, Tate office.

You may have experience of the following: Client Onboarding Executive, Account Manager, Account Executive, Internal Account Manager, Legal Executive, Client Services, On-boarding, Customer Service Advisor, Customer Support Executive, Office Manager.

Tate is acting as an Employment Agency in relation to this vacancy.

11/08/2019 15:32:02
GBP 20000 20000