Assistant Compliance Officer

1 month ago


St Albans, United Kingdom Abacus Consulting Full time

Assistant Compliance Officer, successful FCA Regulated business, St Albans, to £45,000

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



  • St Albans, United Kingdom Abacus Consulting Full time

    Assistant Compliance Officer, successful FCA Regulated business, St Albans, to £45,000Fantastic 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...


  • St. Albans, United Kingdom Abacus Consulting Full time

    Assistant Compliance Officer, successful FCA Regulated business, St Albans, to £45,000 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...


  • St Albans, United Kingdom Outsourced Professional Administration Ltd Full time

    To provide Compliance assistance to the Head of Risk Compliance Officer. To support and contribute to the provision of a professional compliance interface between OPAL and its clients and maintain effective regulatory controls within the firm. Ensure all relevant regulatory requirements are met including the FCA’s Conduct Rules and Principles. Minimum 2...


  • St Albans, United Kingdom National Pharmacy Association Full time

    Job Advert **Assistant Compliance Officer - Permanent, Full Time** Do you have 3-5 years experience of working in a compliance role? Are you someone who has detailed and current knowledge of the PRA/FCA and other rules and guidance? Are you someone who has good working knowledge of the financial services industry with an emphasis on insurance and...


  • St Albans, United Kingdom Abacus Consulting Full time

    Position: Compliance Support OfficerCompany: Abacus ConsultingOverview:Join a dynamic team within a well-established financial services organization as a Compliance Support Officer. This role presents an excellent opportunity to advance your career in regulatory compliance.Key Responsibilities:As a Compliance Support Officer, you will play a crucial role in...


  • St Albans, United Kingdom Camino Partners Ltd Full time

    12 months MAT COVERContracts and Compliance Officer3 days in office, 2 from homeUp to £35,000My client is a leading international contract recruitment business specialising in connecting top-tier talent with global opportunities. With a network spanning across continents, they pride themselves on their ability to deliver customised staffing solutions to...


  • St Albans, Hertfordshire, United Kingdom Tate Full time

    Junior Compliance Officer Full Time Office Based Competitive Hourly Rate Temporary Position A reputable organization is seeking a Junior Compliance Officer to join their team on a temporary basis. The successful candidate will ideally possess a background in Financial Services and demonstrate a keen eye for detail. Key ResponsibilitiesGenerate daily reports...

  • Compliance Assistant

    1 month ago


    St Albans, United Kingdom BettingJobs Full time

    BettingJobs is currently working with a well-established Sports Betting company who are seeking a Compliance Assistant to join their team in St Albans. As a Compliance Assistant, you will be responsible for investigating Safer Gambling alerts and assisting with the smooth running of the compliance team.The role of Compliance Assistant would suit an...

  • Compliance Assistant

    1 month ago


    St. Albans, United Kingdom BettingJobs Full time

    BettingJobs is currently working with a well-established Sports Betting company who are seeking a Compliance Assistant to join their team in St Albans. As a Compliance Assistant, you will be responsible for investigating Safer Gambling alerts and assisting with the smooth running of the compliance team.The role of Compliance Assistant would suit an...


  • St Albans, United Kingdom Smart10Ltd Full time

    Job Title: Junior Compliance OfficerSalary: £25,000Location: St AlbansContract: PermanentHours: Monday to Friday 09:00 - 17:30 – 37.5 hours per weekCOMPANY PROFILEWe are pleased to present a remarkable opportunity with our esteemed client operating within the Financial Services sector in St Albans.With over two decades of experience supporting...


  • St Albans, United Kingdom Tate Full time

    Trainee Compliance Assistant Full Time Office based St Albans £12.50 per hour 12 weeks temporary position An organisation based in St Albans require a Trainee Compliance Assistant to join their team on a 12-week temporary basis. The ideal candidate will come from a Financial Service's background and have strong attention to detail. Duties of the...


  • St Albans, United Kingdom Tate Full time

    Trainee Compliance AssistantFull TimeOffice based St Albans£12.50 per hour12 weeks temporary positionAn organisation based in St Albans require a Trainee Compliance Assistant to join their team on a 12-week temporary basis. The ideal candidate will come from a Financial Service's background and have strong attention to detail.Duties of the roleRun daily...


  • St Albans, United Kingdom Tate Hitchin Full time

    Trainee Compliance Assistant Full Time Office based St Albans £12.50 per hour 12 weeks temporary position An organisation based in St Albans require a Trainee Compliance Assistant to join their team on a 12-week temporary basis. The ideal candidate will come from a Financial Service's background and have strong attention to detail. Duties of the role Run...


  • St. Asaph, United Kingdom Retrofit Compliance Services Full time

    Retrofit Compliance Services is a growing organisation with offices in the North East of England and North Wales. We are looking for a new member of the team as we begin to grow who is diligent and looking to begin a new career in a thriving industry. We provide Assessment, Coordination and Design services for companies who operate within the ECO Industry as...


  • St. Asaph, United Kingdom Retrofit Compliance Services Full time

    Retrofit Compliance Services is a growing organisation with offices in the North East of England and North Wales. We are looking for a new member of the team as we begin to grow who is diligent and looking to begin a new career in a thriving industry. We provide Assessment, Coordination and Design services for companies who operate within the ECO Industry as...


  • St. Asaph, United Kingdom Retrofit Compliance Services Full time

    Retrofit Compliance Services is a growing organisation with offices in the North East of England and North Wales. We are looking for a new member of the team as we begin to grow who is diligent and looking to begin a new career in a thriving industry. We provide Assessment, Coordination and Design services for companies who operate within the ECO Industry as...


  • St Albans, United Kingdom Red Door Recruitment Full time

    A friendly and professional Financial Services company based in St Albans are looking for a Compliance Administrator to join a friendly and welcoming company. This is a great opportunity to start within an entry level role within compliance where you will gain experience and develop a career. You will be based within a modern office centrally located and...


  • St Albans, United Kingdom Oaklands College Full time

    Based at the St. Albans Campus We are seeking a meticulous and proactive Apprenticeship Compliance Officer to ensure the accuracy and completeness of apprenticeship data and compliance with funding rules. The post holder will be responsible for managing apprenticeship records and supporting the college in audit and quality monitoring processes. This role is...


  • St Albans, United Kingdom Streamline Search Full time

    Company Overview:Streamline Search is a prominent technical recruitment agency dedicated to connecting skilled professionals with leading firms across the United Kingdom.Position Summary:We are currently seeking a HSEQ Advisor to enhance our client's team. This role is pivotal in safeguarding the health and safety of all personnel, contractors, and visitors...


  • St. Albans, United Kingdom Red Door Recruitment Full time

    A friendly and professional Financial Services company based in St Albans are looking for a Compliance Administrator to join a friendly and welcoming company. This is a great opportunity to start within an entry level role within compliance where you will gain experience and develop a career. You will be based within a modern office centrally located and in...