Assistant Compliance Officer

3 weeks ago

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 year’s experience within the financial services industry
- Works to a high standard and continuously seeks opportunities to enhance personal performance, process/systems/service improvements within the role
- Demonstrates integrity, respect, teaming, leadership and management of handling of all departmental work
- Displays willingness, enthusiasm and flexibility to task completion.
- Pays attention to detail, completes tasks in a timely manner, consistently produces quality outputs
- Averse to risk taking and understands risk analysis to avoid undue risk to the business. Reviews and updates the risk register on a regular basis

Security Awareness - Understands basic principals of DPA and other forms of protection of data or assets within an organisation

**Minimum Qualifications required upon recruitment**

GCSE standard or equivalent (grade B and above)

Financial services related professional qualification such as FPC, IOC and RO1

**Principal Job Objectives**
- Undertake monitoring as directed by the Head of Risk and Compliance Officer in order to analyse the company’s compliance with regulatory requirements including FCA, data protection, information security, anti-fraud and business continuity requirements.
- Support the Head of Risk and Compliance Officer in providing constructive and practical advice to the business about internal control and regulatory requirements.
- Demonstrate a commitment to the Basic Principals of Consumer Duty, ensuring fair outcomes for consumers, ensuring you undertake Compliance training for new staff.
- Update Regulatory and Compliance policies and procedures documents.
- Provide training to the business to compliment and develop on the CBT.
- Maintain the OPAL and OPAL clients’ 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.
- Support the Head of Risk & Compliance Officer in the delivery of internal audit and risk assessment work on behalf of OPAL and its third party clients.
- Act as a point of contact in the absence of the Head of Risk & Compliance for regulatory compliance queries from the wider business.
- To support the MLRO (Head of Risk & Compliance Officer) and where required, OPAL clients, in undertaking transaction monitoring and PEP and Sanctions checking to satisfy the regulatory requirements of both OPAL and its clients.
- Support, oversee and quality check all work produced by the Operations undertaking iniatial PEP Screening and Complaints.
- Assist in the production and submission of regulatory returns, in the absence of the Head of Risk & Compliance Officer.
- General assistance on other compliance and regulatory matters as directed by the Head of Risk & Compliance Officer.
- Support and work in accordance with OPAL’s ISO27001 and TCF policies and procedures.
- To be a member of the Risk Committee in the absence of the Head of Risk & Compliance Officer.
- To support the Head of Risk & Compliance Officer in the risk ownership within the organisation and to meet all the controls within the ISO27001 applicable to the Compliance Department.

**Essential knowledge and experience required at recruitment**
- Experience of compliance monitoring, risk management and/or internal audit skills.
- Good inter-personal and communication skills and be a strong team player.

**Additional Knowledge required to become fully competent**
- Understanding of administration and systems within the OPAL.
- Knowledge of Regular Premium, Insurance, Structured Products and Single Premium products.
- Examination(s), if relevant, as agreed with Head of Risk & Compliance Officer.
- Full understanding of ISO27001.

**Salary**: From £35,000.00 per year

**Benefits**:

- Company pension
- Life insurance
- Sick pay

Schedule:

- Monday to Friday

Work Location: In person

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