Compliance Department (including the Training & Competence Field Staff), as directed by the Compliance Admin Team Leader and Compliance Manager
Responsible for booking 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. Book travel and accommodation for Compliance / T&C staff
c. Scanning all files and post received in the department and distributing as necessary, maintaining a record of files received and returned.
d. Scheduling of monthly Induction courses, maintenance of an online record of attendance and distributing course information packs to attendees. Book trainers to run the courses.
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 any
department storage facility as directed by the Compliance Manager.
g. Update internal systems with new member information as required.
h. Enter test results from E-learning system onto our internal system
For this role you will need to have a background in Financial Services or have worked in a regulated environment. You will need to have organisation skills and strong attention to detail.
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