Assistant Compliance Officer

1 month ago


Hertfordshire, United Kingdom Abacus Consulting Full time

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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