Compliance Trainee recruitment

Main responsibilities

1/ Compliance Support

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 required

2/ Administrative Support (as back-up to the PA to the Head of UK Group Compliance), as required

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 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

CANDIDATE PROFILE

Education

Graduate

Past experience

1 year in a comparable role in an Investment Bank an advantage

Languages

Fluent English, French an advantage, but not prerequisite

Technical skills

Regulatory/Compliance knowledge an advantage

Personal abilities

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