- Junior
- Office in London
To support the Compliance team, carrying out day-to-day compliance activities, attending meetings, producing reports and carrying out general administrative and monitoring tasks as required by Asta and its managed clients.
Key Responsibilities
Generic tasks
- ISO 27001 All Staff - to comply with the applicable Information Security Management System (ISMS) policies, including Clear Desk and Screen Policy, attend annual IT security training, Information Systems Usage policy. Managers only – ensure that all direct reports comply with all ISMS policies.
- Timesheet - Ensure timesheets are accurately and diligently completed within the required timeframe. Manager’s only – in addition, ensure timesheets are authorised within the required timeframe.
- Conduct Standards – Tier 1 - All Staff – to comply at all times with the PRA/FCA’s Conduct Standards, namely: 1.) to act with integrity 2.) to act with due skill, care and diligence and 3) to be open and co-operative with the FCA, the PRA and other regulators. 4) You must pay due regard to the interests of customers and treat them fairly. 5) You must observe proper standards if market conduct.
Key tasks
- Assist in monitoring the compliance inbox by flagging emails for review and forwarding them to the appropriate team member.
- Log incoming queries and escalate them to the appropriate compliance team member rather than responding directly.
- Support the logging of complaints, sanctions, and referrals by entering data into tracking systems under supervision.
- Assist in preparing documentation for compliance monitoring activities (e.g., printing reports, formatting templates).
- Help gather and collate data from internal sources for regulatory returns, under the guidance of more senior staff.
- Attend compliance meetings to observe and take basic notes; assist with scheduling and document preparation.
- Update training records and assist with uploading content to the eLearning platform.
- Assist with the compliance and returns calendar, sending reminders as and when the need arises.
- Assist with document collation and checklist completion for new or existing clients.
- To participate in additional projects and activities that may arise
- 1Provide administrative support for compliance projects, such as document formatting, filing, and scheduling.
Skills, Knowledge & Expertise
Key personal skills
- Accurate and analytical, with good attention to detail.
- Flexibility and ability to manage a varied workload.
- Ability to form good working relationships with internal and external stakeholders and work as part of a team.
- Positive attitude and willingness to learn
Key technical skills, knowledge and professional qualifications
- Strong educational background
- Previous work experience in office environment
- Insurance industry experience preferred
- Degree level education preferable desire to complete ACII qualification.
- Competent user of Microsoft Office (including Outlook, Word, Excel and PowerPoint).
