Compliance Administrator

Description

As our firm continues to grow, we are looking to recruit a Compliance Administrator to provide administrative and operational support to the Compliance Team. This role will play an important part in maintaining compliance records, registers and management information, helping to ensure the firm meets its regulatory obligations and internal governance requirements.

Department

Compliance

Location

Derby, UK

Description

As our firm continues to grow, we are looking to recruit a Compliance Administrator to provide administrative and operational support to the Compliance Team. This role will play an important part in maintaining compliance records, registers and management information, helping to ensure the firm meets its regulatory obligations and internal governance requirements.

Reporting directly to the Compliance Manager, the successful candidate will support a wide range of compliance activities, including maintaining key registers, processing compliance notifications, producing reports and dashboards, and assisting with regulatory and client requests. This role would suit an organised individual with strong attention to detail who is comfortable managing multiple tasks and working in a fast-paced environment.

This is a full-time position based in our Derby office. Standard working hours are 9:00am to 5:00pm, Monday to Friday.

Key Responsibilities

Business as Usual Compliance Activities

• Monitor and triage the Compliance inbox.
• Record compliance notifications, queries and incidents in the Compliance Register.
• File, organise and maintain compliance records and documentation.
• Manage the team’s key compliance dates and elevate any issues.
• Process compliance-related changes arising from employee joiners, movers and leavers, ensuring relevant compliance records, registers, permissions, communications and governance documentation are updated promptly and accurately.

Data Protection and Information Requests

• Assist with Data Subject Requests.
• Process file requests and information retrieval requests.
• Maintain the Record of Processing Activities (RoPA) and supporting documentation.
• Renew the firm’s ICO registration (annual).

Policy Governance

• Maintain the Policy Register.
• Monitor policy review schedules and identify overdue reviews.
• Liaise with departments to facilitate policy reviews, updates and approvals.
• Support the administration and ongoing development of the firm’s Policy Hub.

Risk Management

• Conduct quarterly risk review and produce report.

Financial Crime Compliance

• Maintain the Private Interests Register.
• Maintain the Gifts and Hospitality Register.
• Conduct quarterly Anti-Bribery and Corruption (ABC) reviews.
• Maintain associated records and supporting documentation.

Key Compliance Communications

• Maintain the Compliance Communications Plan and monitor key communication deadlines.
• Coordinate compliance communications and follow up with the compliance team to ensure activities are delivered on time.
• Prepare and distribute compliance updates, reports and regulatory communications.
• Maintain records of key communications, submissions and responses.

Reporting and Management Information

• Produce regular compliance reports and management information.
• Assist with the preparation of Compliance Dashboards and Executive Dashboards.
• Compile data, statistics and trend analysis for reporting purposes.
• Support the production of departmental and strategic performance reports.
• Maintain the Strategic Delivery Register and support progress reporting against departmental objectives.

Skills, Knowledge And Expertise

• Prior experience working in an administration role. Preferably within professional services however not essential.
• Strong organisational and administrative skills.
• Excellent attention to detail and accuracy.
• Ability to manage multiple priorities and meet deadlines.
• Good written and verbal communication skills.
• Strong Microsoft Office skills, particularly Excel, Word and Outlook.
• Ability to work independently and as part of a team.
• Experience maintaining records, databases or registers is desirable.

Please note

Full training and support will be provided. We recognise that compliance roles vary between organisations and are looking for someone with the right attitude, aptitude and willingness to learn.

Benefits

• Competitive salary
• Bonus potential
• Career development opportunities
• 25 days holiday plus bank holidays
• Options to buy & sell 1 week’s holiday
• 1 week’s holiday carry over
• Extra day off for your birthday
• Employee discount scheme for local businesses
• Social days and evenings on the firm
• Staff discounts on legal services

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