Compliance Administrator

The Compliance Administrator is responsible for much of the administrative aspects of the day-to-day delivery of the Compliance team's activity. The Compliance Administrator will report to the Compliance Officer. Key responsibilities will include the review of Agency applications including liasing with the Sales team to ensure appropriate documentation has been received to enable a determination of the application and the ongoing Agency administration including the checking of regulatory status. The Compaince Administrator will also be responsible for the completion of Subject Access Requests made under Data Protection Legisaltion and the maintenance of the Regulatory and Team calendars ensuring key dates are met. The Compliance Administrator will also assist with adminstrative tasks for the Conduct Officer and general administrative support for the Compliance team. In effect, the Compliance Administrator will gain experience in almost every aspect of Complaince including but not limited to: agency applications, contracts, data protection activity, audit data compiling, process mapping, regulatory checks and conduct.Your tasks

• Agency Application Administration Being responsible for the approval or otherwise of new ATE and BTE agency applications. This will involve reviewing documentation lodged by the applicant and researching additional information as required. Further being aware when Applications should be passed to a Compliance Advisor/the Compliance Officer as appropriate. This will require liaising with the relevant Sales Team.
• Ongoing Agency Administration Being responsible for the ongoing oversight of existing companies with whom ARAG has an agency to ensure regulatory and cotractuial position remins satisfactory
• Subject Access Request Being responsible for the timely output following Data Protection Subject Access Requests, including ensuring all appropriate data on ARAG systems is collated and reviewed. This will include reviewing and redacting, as appropriate, other personal data in the documents.
• Quality Assurance Audits Being responsible for checking required quality assurance audit activity is taking place within ARAG departments as required by the Quality Assurance Policy and compiling data to allow analysis of the activity and production of reports.
• Coverholder Declaration Administration Assist the Conduct Risk Officer in the adminstration of the Coverheolder Shortform Declarations required of ARAG's coverholders. This task will involve ensuring the Form is distributed accurately and chased as appropriate. Also being responsible for uploading documents onto the ARAG and Lloyd's systems.
• Compliance Calendar Being responsible for the maintenance of the Compliance Team calendar to include key dates for internal activity and key dates published by Regulators.
• General Administrative Support Support the Compliance team in administrative tasks as required
  
  No previous Compliance experience is necessary. You must be comfortable working with IT solutions, particularly when using MS Word, Excel and PowerPoint. You will need to demonstrate some academic achievement (Minimum of 5 grade C/5 or above GCSE or equivalent including in English and Maths). Ideally you will have some exposure in Financial Services. A higher level of academic achievement up to A-level or graduate level. Some work experience would be desirable even if this isn't Compliance or Financial Services related. Ideally this would be administrative based and evidence of using information / templates / databases.
  
  Fair and competitive basic salary
• Pension Generous pension scheme with additional "matching" option