Compliance Trainee – 11 months Fixed Term Contract recruitment

                                               Main responsibilities

Providing support and assistance to the Policy Training Registrations Team including:

• Processing of applications for registration of individuals with the FSA as CF30 customer function approved persons

• Assist with the processing of applications for registration of individuals with the FSA as CF29 Significant Influence Function approved persons

• Input of Forms A and C into the FSA On-line Notification and Registration System (ONA), as required

• Administration surrounding FSA registration forms and letters

• Maintenance of the Compliance Registrations Database and the Registrations Dashboard, and keeping COOs up to date with the progress on registration of individuals

• Maintenance of compliance training records

• Sending e-learning chaser emails

• Sending information on e-learning overdues and incompletes to COOs

• Production of Team Metrics/Management Information

• Performance of the Team Permanent Supervision controls

• Assistance with regulatory developments, as require

Tasks may include:

• Administering Compliance joiner/leaver forms and maintaining welcome packs up to date

• Organising travel arrangements for departmental staff as required

• Co-ordinating the maintenance of the core and enhanced biographies of Department staff

• Maintaining organisation charts and contacts list up to date

• Acting as back-up for the in relation to AMS system entries for Compliance Department staff

• Acting as a point of contact for Central Services dealing with issues such as the office environment, catering, health and safety

• General office duties such as IT folder administration, filing, archiving, mail distribution, ordering office supplies and ad hoc duties

• Other duties as required

Internal external contacts

• Business line management and staff, Branch management, SG Group Compliance, FSA (administrative support only)

• Frequency of contact: as necessary

Education: ‘A’ Levels, Graduate

Past experience

• Influencing skills

• Presentation skills

• Organisational skills