Apprentice Compliance Administrator

2 weeks ago


Sydney, New South Wales, Australia Training 2000 Full time

OverviewAs a Compliance Administrator you will be responsible for performing basic administrative tasks, assisting with compliance documentation, compliance and audit activities for the onboarding of potential new IARS, ensuring effective and timely compilation, monitoring and recording of data and documentation.ResponsibilitiesDaily monitoring of Field Sales Representatives diaries to identify new compliance and due diligence checks requiredCheck the legitimacy/solvency and Fit & Proper status of new business leads using a number of search engines and industry specific search providersIdentify compliance red flags and escalate as requiredComplete the Compliance Workflow with the information gatheredCheck all required regulatory documentation and identification is received with new contracts maintainedCarry out Know Your Customer (KYC) and Anti Money Laundering (AML) checksInput new contracts onto bespoke CRMCarry out Compliance telephone calls with new clientsFollow up completion of new client application dataFollow up of initial and routine training by new customersCarry out routine compliance checks on existing customers to ensure ongoing complianceProcess daily Credit Safe Monitoring Alerts (training to be provided)QualificationsL3 BTEC Diploma in Business AdministrationJob DetailsJob Types: Full-time, ApprenticeshipPay: From £264.25 per weekWork Location: In person
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