Assistant Compliance Officer
1 month ago
Assistant Compliance Officer, successful FCA Regulated business, St Albans, to GBP45,000
Fantastic opportunity to develop a career in FCA regulated compliance. Working within an established financial services company, the role of Assistant Compliance Officer will support the compliance team to monitor and analyse the company s compliance with regulatory requirements including FCA, Data protection, information security, anti-fraud and business continuity requirements.
As the Assistant Compliance Officer, your responsibilities will include:
- Support the Compliance Officer in providing constructive and practical advice to the business about internal control and regulatory requirements.
- Update Regulatory and Compliance policies and procedures documents.
- Maintain the breach registers, including ISO27001 Breaches.
- Analyse all breaches and ensure that remedial actions have been taken to prevent them recurring.
- Act as the Compliance point of contact for all clients in the absence of the Head of Risk & Compliance Officer.
- Undertake FCA Approved Persons registrations and de-registrations, in the absence of the Head of Risk & Compliance Officer.
- PEP Screening and Complaints.
- Assist in the production and submission of regulatory returns
- General assistance on other compliance and regulatory matters as directed by the Head of Risk & Compliance Officer
Seeking candidate with experience in financial services compliance (ideally 3-5 years), preferably with some working knowledge of the FCA handbook and its practical application.
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Assistant Compliance Officer
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Hertfordshire, United Kingdom Abacus Consulting Full timeAssistant Compliance Officer, successful FCA Regulated business, St Albans, to GBP45,000 Fantastic opportunity to develop a career in FCA regulated compliance. Working within an established financial services company, the role of Assistant Compliance Officer will support the compliance team to monitor and analyse the company s compliance with regulatory...
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