Compliance Administrator

Introduction

We are looking for an organised, enthusiastic, and knowledgeable Compliance professional to join our growing Compliance team. You will play a crucial role in maintaining the integrity and ethical standards by monitoring and administering compliance with regulatory requirements.

Why Saltus?

Our mission is to improve everyone’s relationship with their wealth: to make it a positive force for their future and at the same time to prevent it being a source of anxiety. We want everyone who works at Saltus to be proud to work here, and to find fulfilment and meaning in the work that they do. We have a number of offices in the South of England including London, Whiteley and Farnham.

We are incredibly proud of our culture and work really hard to ensure that Saltus is a great place to work for our people, where they can have fun and grow in their career, with a passion for excellence and customer service.

We’re proud that we’ve been recognized as a winner by the Sunday Times in the Best Places to Work 2024 awards, as well as a winner in the Professional Adviser awards 2024 for the Best Financial Advisers to Work For. These accolades reflect our commitment to creating an exceptional work environment and our dedication to excellence in the financial industry. Join our award-winning team and be a part of our continued success!

Saltus is a privately owned financial planning and discretionary investment management house. We are dedicated to providing a high-quality service for private clients, trusts, and smaller institutions.

Saltus Partners was founded in 2004 and has grown organically and through a small number of carefully integrated acquisitions. Originally the business started out as an investment manager and has now developed the financial planning side of the offering, putting this at the forefront of the client relationship.

Today Saltus manages and advises on over £9 billion of client assets, acquired through a combination of organic business growth and corporate acquisitions.

Role and responsibilities

• Helping to review Complaints should they arise and assist in the calculation of any potential redress to ensure we treat all our customers fairly.
• Providing compliance support on projects as we respond to changes in regulation or look to make improvements to how we operate.
• Assisting in the allocation of file checks to test the quality of advice given by Saltus advisers. This would also include tracking MI on checks to help new advisers reach competent adviser status (“CAS”).
• Working on the policy framework to ensure policies remain current and are presented to the relevant Boards and Committees for sign off when due.
• Horizon Scanning for any new or updated regulation and assessing any potential impact on both Saltus and our clients.
• Adviser Support where necessary on technical questions, including liaising with Three Sixty (or any other compliance third party) to establish Saltus’ position.
• Maintaining various Registers of activity, including conflicts of interest, breaches, errors, and gifts and inducements.
• Helping with oversight of the T&C Framework from our advisers.

Essential attributes the successful candidate should possess

• Energy and a passion for helping Saltus remain compliant and to continue to provide the best possible outcomes for our clients.
• Previous compliance experience in a first line capacity, including an understanding of how a three lines of defence model works.
• A sound working knowledge of the FCA Handbook.
• Experience within the Financial Services industry, ideally within a private client advice or asset management / DFM business.
• The desire to take on a variety of tasks, adapting to changing business needs.
• Excellent interpersonal, verbal, and written communication skills with strong attention to detail.
• Outstanding communication skills, able to communicate with departments across the business, at all levels.
• The ability to take ownership and responsibility for tasks and projects, working autonomously and collaborating as needed with key stakeholders.
• Proficient computer skills, Microsoft Office Suite (Word, PowerPoint, Outlook, SharePoint and Excel).
• A willingness and flexibility to travel to office sites as required. If you are able to drive and have your own transport, that would be highly advantageous.
• Qualifications in Financial Services, either as an adviser or in Compliance, Risk, or Supervision

Where will I be working?

We are looking for someone to work from either our Bath, Whiteley office, and we offer hybrid working, which includes 2 days in the office, with the remainder at home. We’re incredibly flexible about when and how you work: we don’t want anyone to be prevented from coming to work for Saltus as a result of the working pattern that they’re looking for. We are passionate about championing flexible working for our people, so if there’s a slightly different working pattern that you’re looking for, then please come and have a chat to us about it!

What benefits do I get when working for Saltus?

The salary is between £30k – £38k depending on experience, alongside 25 days’ holiday (plus bank holidays), life assurance, income protection and a pension, alongside access to our flexible benefits platform. The role is 37.5 hours per week between the hours of 8.30-5.30pm. Just as importantly, you’ll get to experience our culture, which we really do live and breathe ensuring that Saltus is a fantastic place to work for every single one of our 400+ people. We work hard, but we have an awful lot of fun along the way. If you think you’d like to come and join us, then please do get in touch… we’d love to hear from you!