Compliance Administrator, Advisory & Complaints (FTC) chez Charles Stanley & Co. Ltd. BU

Job Purpose:     

To provide high-quality administrative support to the Head of Advisory & Complaints, ensuring the accurate and efficient handling of client complaints and related processes.

Key Responsibilities

• Maintain precise and up-to-date team records in line with internal procedures.
• Ensure timely and accurate processing of client compensation payments.
• Monitor and manage the team’s shared mailbox, ensuring all queries are promptly allocated and tracked through to resolution.
• Prepare and deliver Management Information (MI) and status reports for governance committees and senior stakeholders.
• Collaborate with other Compliance functions—including Monitoring & Testing, Financial Crime, and Compliance Governance—to support cross-team initiatives as required.

Qualifications & Experience

• Prior experience in UK Wealth Management, Investment Management, or Private Banking is highly desirable.

Skills & Competencies

• Strong attention to detail and commitment to accuracy.
• Clear and effective verbal and written communication skills.
• Proficiency in Microsoft Office, particularly Excel.
• Ability to write professionally with correct grammar, tone, and style.
• Excellent time management and prioritisation skills, both individually and within a team.
• Adaptable and responsive to changing business needs.
• Solid understanding of relevant systems and processes, with a commitment to continuous learning.
• Upholds high standards of professional and technical excellence for self and others.