Purpose
Undertake general administrative and monitoring tasks on behalf of Asta and its managed clients as directed by the Compliance Team.
Key Tasks
Support the members of the Compliance team in the day to day delivery of the compliance framework, compliance plan and compliance monitoring plan
Assist the Compliance team in the annual attestation process, sending attestations to managed clients and tracking responses
Liaise with managed clients to collect various forms of data, researching and querying where appropriate. Examples include sanctions screening, broker approvals, regulatory returns and the corporate gift register
Undertake and record compliance monitoring of managed client activities and highlight any issues to other members of the Compliance Team. Example include ICO registration monitoring, slip review monitoring
Log and record complaints, sanctions, broker remuneration and other referrals as may be required
Undertake an reconciliation process to compare Broker lists to Broker monitoring system, REG
Participate in additional projects and activities that may arise
Develop an understanding of the risks and controls relevant to the Compliance function, operate within the prescribed procedures and guidelines and report/discuss issues with the Compliance Manager
Key Personal Attributes
Accurate with a good attention to detail
Good team player
Flexible and the ability to manage a varied workload
Positive attitude and willingness to learn
Key Technical Skills, Knowledge and Professional Experience
Strong educational background
Previous work experience in an office environment
Competent user of Microsoft Office (including Outlook, Word and Excel)
Insurance industry experience preferred