Compliance Administrator

Press Tab to Move to Skip to Content Link

Select how often (in days) to receive an alert:

Job Category: Support

Location:

Liverpool, GB, L3 1NW

Date: 11 Jul 2025

Rathbones provides individual investment and wealth management services for private clients, charities, trustees and professional partners. We have been trusted for generations to manage and preserve our clients’ wealth.

Our tradition of investing and acting responsibly has been with us from the beginning and continues to lead us forward. Our ambition is to be recognised as the UK’s most responsible wealth manager.

We see it as our responsibility to invest for everyone’s tomorrow. That means doing the right thing for our clients and for others too. Keeping the future in mind when we make decisions today. Looking beyond the short term for the most sustainable outcome. This is how we build enduring value for our clients, make a wider contribution to society and create a lasting legacy. Thinking, acting and investing responsibly.

Job Title: Compliance Administrator

Department: Compliance

Location: Liverpool

Contract Type: FTC – 12 Months

Reporting to: Stuart Emms

The Role

To provide an efficient and effective administrative service to the Complaints and Detriment teams.

Outcomes of the Role

• Delivers administrative support to the Complaints and Detriment teams, completing routine and ad hoc tasks as required.
• Utilises the Aptean Respond system to input, maintain and update data and records across both complaints and detriment cases.
• Produces and dispatches standard letters (e.g. acknowledgement, 4- and 8-week holding letters) to clients tailored as appropriate to individual complainants.
• Assists in the production of insightful and meaningful management information to help governing Committees understand themes and trends arising.
• Works with the wider Compliance Monitoring & Assurance function to enhance the root cause approach, to drive change within the Group to improve future client outcomes.
• Supports the production of periodic regulatory reporting, across the Group.
• To be one of the company’s key contacts for the various ombudsman services (including FOS, CIFO, Pension Ombudsman, Legal Ombudsman).
• Assists team members with any regular and ad hoc tasks as necessary.
• Drives the continuing professional development of oneself.

Knowledge, Skills and Experience

• Demonstrates an understanding of the investment management and financial advice processes.
• Demonstrable an understanding of the administration of client complaint management and an understanding of the regulatory requirements of this.
• Confident communicator, skilled at developing internal relationships and external where necessary.
• Excellent IT skills – Word, Excel, Access, Powerpoint, Acrobat Reader are essential.
• Ability to work in a fast-paced busy environment and deliver on time
• Keeps up to date with developments in both the Rathbones Group and wider industry, including new products, legislation and regulation.
• Knowledge of regulatory and compliance requirements in relation to complaint resolution.
• Strong IT literacy and ability to adapt to new systems

Life at Rathbones

We aim to become an employer of choice for the wealth management sector, to achieve this we are working hard to build a diverse, equal, and inclusive workplace that motivates, develops and embraces the strengths of all our colleagues. Being part of Rathbones means you will join a team of passionate professionals in a successful culture that cares for its people. At Rathbones, we provide meaningful work, opportunities, and a voice to all.

We are committed to building a team that is made up of diverse skills, experiences and abilities and encourage applications from all backgrounds. We welcome individuals who share our values – those that are passionate about client service, operate with the highest levels of integrity and have a strong results focus.

We’re a Level 1 Disability Confident employer under the UK Government scheme. This means we’ve signed up to a set of commitments around how we recruit, retain and develop people with disabilities. Find out more about the Government Scheme online. If you require adjustments to apply for a role at Rathbones, please contact us via recruit@rathbones.com to let us know what adjustments you may need.

#J-18808-Ljbffr