Job Details

Compliance Administrator Financial Services

Sector:Financial Services

Region : South East England

Location: Horsham

Salary: Salary DOE

Job Ref.: CL1602I

Job Information

Main Duties

a. To book all Compliance visits and assist with booking of T&C supervisor visits. Deal with all paperwork resulting from these visits, and store as appropriate

b. To book all travel and accommodation for Compliance / T&C staff, and the Compliance Director.

c. Scanning all files and post received in the department and distributing as necessary, maintaining a record of files received and sent back.

d. Scheduling of monthly Induction courses, keep an online record of attendance and distribute course information packs to attendees. Book external presenters as necessary.

e. Book meetings rooms and set the rooms up for internal courses, order food and organise refreshments.

f. Check off resigned member files, label and arrange appropriate storage. Arrange audit of the
storage facility as directed by the Compliance Manager.

g. Update internal systems with new member information as required.

h. Make amendments to Internal documents as / when directed by Senior Supervisors or Compliance Manager. Ensure that old documents are properly archived.

i. Day to day responsibility for the Assess online learning system, including testing / results, reports and dealing with telephone and emailed enquiries from users.

j. Obtain weekly reports from T&C supervisors on member qualifications, and enter onto internal system. Provide reports to Directors as / when requested.

k. Provide lunchtime cover on reception as requested (on a rota basis with other departments).

l. Schedule departmental meetings / training as required, book all meeting rooms.

m. Organise twice yearly external training events for all members, alongside the Sales team,

n. Any other duties as instructed by the Compliance Director, Compliance Manager, or Senior Supervisors

7. Tools & Equipment necessary for job

Desktop Computer.
Internal / departmental systems.

8. Qualifications

Good all round education, FPC or industry related qualifications an advantage

9. Experience Required

Previous experience within a Business Administration Role is desirable but not essential as training and supervision is provided on job.

10. Knowledge Required

Previous knowledge of the Insurance/Financial Services Industry is desirable but not essential

11. Practical Skills

Good keyboard skills
Practical experience with Word, Excel and Database applications
Good communication skills

12. Person Specific

Possessing good interpersonal skills with a willingness to work in a demanding environment,
with the ability to communicate effectively at all levels, and in all media types. Ability to work on own initiative and maintain self control when under pressure.