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.