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Compliance Apprentice

Gateley Plc
Pay: £10,000.00 Text
Location: West Midlands Birmingham United Kingdom
Category: Entry Level
Available from: Sep 2017
Finishes on: Ongoing Position
Type of work: Full Time, Indoor & Outdoor
Job reference: E02532053
Admin/Secretarial 2017-09-04 2017-09-25

Job Description

Day to day duties will include:




  • Client and matter openings

  • Processing new client opening workflows

  • Updating cash prohibited client listings on a daily basis

  • Conflict checking new clients and matters and adopting a proactive approach when potential conflicts arise

  • Liaising effectively with secretaries, fee earners and unit head’s as appropriate to provide support and guidance as necessary with compliance and risk procedures

  • Answering daily queries regarding workflows

  • Using Jordans software effectively and having an understanding of PSC’s, confirmation statements, annual returns and immediate and ultimate beneficiaries

  • Understanding of SRA requirements

  • Accurate data processing of information with a meticulous eye for attention to detail

  • Assist with daily compliance related risk reviews and queries within the firm

  • Helping to develop and embed a strong compliance culture across the business

  • Escalate any issues, risks or concerns in an appropriate and timely manner



This job description is not an exhaustive list due to the requirements of the role. Therefore the job holder may be required from time to time to carry our other ad hoc tasks as requested.


Personal Qualities :

  • Strong organisational skills

  • Strong communication skills both written and verbal

  • Ability to work as part of a team

  • Attention to detail



Skills Required :

  • Good IT skills

  • A keen interest in Compliance and Risk

  • Discretion and professionalism

  • Ability and willingness to learn



Future Prospects : Opportunities within the company for the right candidate.

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