Assistant Compliance Officer

1 day ago

Hertfordshire, United Kingdom Claims Recruitment Services Full time

Assistant Compliance Officer & Internal Auditor Hertfordshirec£40,000 + Benefits

We are currently recruiting for an Assistant Compliance Officer & Internal Auditor on behalf of our client, a highly regarded SME fintech business based in Hertfordshire.

The key purpose of the role is to provide a Compliance and Risk service and support to the company and all employees, ensuring that all relevant activities adhere to all appropriate regulatory requirements.

Key Responsibilities - Assistant Compliance Officer

  • Supporting the Head of Compliance to ensure procedures and services delivered, adhered to the regulations that apply to a regulated financial services business.
  • Ensuring that all relevant regulatory requirements are met during operational practice including the FCA’s Consumer Duty, Conduct Rules and Principles.
  • Engaging with clients as appropriate to enhance the company's service in the delivery of critical or important functions.
  • Participating in and contributing to the compliance culture of the broader management group of the business.
  • Ensuring that all day to day business-as-usual compliance breaches and complaints handling support is provided.
  • Acting as a second line of defence to identify and monitor risks, and providing a feedback loop to Head of Compliance & Risk and the Operational Practice of the company.

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