Compliance Support Officer

2 weeks ago


St Albans, United Kingdom Abacus Consulting Full time
Position: Compliance Support Officer

Company: Abacus Consulting

Overview:
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 assisting the compliance department to ensure adherence to regulatory standards. Your main duties will include:
  • Collaborating with the Compliance Officer to provide practical guidance on internal controls and regulatory obligations.
  • Revising and updating compliance and regulatory policy documents.
  • Managing breach registers, including those related to ISO27001.
  • Evaluating breaches and implementing corrective measures to prevent recurrence.
  • Serving as the compliance liaison for clients in the absence of senior compliance leadership.
  • Facilitating FCA Approved Persons registrations and cancellations when necessary.
  • Conducting PEP screenings and handling complaints.
  • Assisting in the preparation and submission of regulatory reports.
  • Providing general support on various compliance and regulatory issues as directed by senior compliance management.

Candidate Profile:
We are looking for candidates with a background in financial services compliance, ideally possessing 3-5 years of relevant experience. Familiarity with the FCA handbook and its practical applications will be advantageous.

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