Compliance - Compliance Administrator - London, United Kingdom - Arbuthnot Latham

Arbuthnot Latham
Arbuthnot Latham
Verified Company
London, United Kingdom

2 weeks ago

Tom O´Connor

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Tom O´Connor

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Description
***- The role within the firm will be to, under guidance from a Senior Compliance Manager, assist the Compliance team in carrying out its daily tasks, committee reporting, routine monitoring and regulatory reporting.

  • As an individual expands their level of experience in this role and of the business, it will be expected that the key responsibilities of the role will be completed with reduced management supervision.
  • To place the interests of customers at the centre of all activities, act in a way that is consistent with achieving good outcomes for consumers and to comply with the FCA and PRA's Conduct Rules.
***
Key Responsibilities

  • Responsible for routine compliance activities and maintenance of related logs and trackers such as: personal account dealing recording; Takeover Panel daily monitoring; policies and procedure review cycles; breaches register; regulatory correspondence register; complaints log; and horizon scanning tracker.
  • Support the delivery of the Compliance Monitoring Programme including assisting with routine reviews, tracking of findings and actions.
  • Support with the complaints and errors/breaches processes.
  • Responsible for the maintenance and completeness of the compliance Intranet pages.
  • Assist with the preparation and delivery of training material and notices to the business.
  • Assist with the completion and submission of regulatory returns and notifications that are the responsibility of the compliance function.
  • Assist in the preparation of compliance committee reporting and the production of broader management information for use by the team and business.
Support with regulatory change projects, under supervision of a Senior Compliance Manager or Compliance Manager.

  • Responsible for managing risks inherent to the role by diligently observing internal policies and procedures. Support the efficient running of the compliance team meetings and other meetings run by compliance (including minute taking and maintenance of action logs).
    Adhoc responsibilities
  • Distribute/deal with ad hoc queries from the business on routine compliance matters under reference to members of the compliance team.
  • Undertake tasks to support the maintenance of compliance files and reference materials.
  • Assist with the production of records and reports to support the activities of the broader compliance team.

Key Interfaces

  • Line Manager
  • Compliance team
  • The business including first and second line team

Person Specification
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Knowledge/Experience/Skills**- Knowledge and experience of an administration role, supporting a team, is desirable.

  • Strong organisational skills and ability to multitask is beneficial.
  • Able to work with high levels of accuracy with strong attention to detail.
  • Desire to build knowledge of the regulatory and business environment via onthejob training and external training/webinars where appropriate.
  • Good verbal and written communication skills.

Qualifications

  • A level or GCSE educated

Competencies

  • Team Working
  • Influencing Others
  • Working Proactively
  • Problem Solving and Judgement
  • Planning and Reviewing
  • Communication & confidence

About Us
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Work, Life and Benefits

At Arbuthnot Latham we offer:

  • Agile working
  • Competitive salary, pension & holiday allowance
  • BUPA Health cover
  • 4 x Life Assurance
  • Discretionary bonus
  • Market leading maternity/paternity and menopause policies
  • Flexible benefits
  • Income Protection Scheme
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