We are currently recruiting for an Assistant Compliance Officer on behalf of our client, a highly regarded SME Investment and Life Protection business based in Hertfordshire.
The successful candidate will report to the Head of Compliance and provide a Compliance and Risk service and support to both companies and employees to ensure all relevant activities adhere to all appropriate regulatory requirements.
Key Responsibilities
- Providing support to Head of Risk & Compliance in AML and Data Protection advice and guidance.
- Acting as a second line defence to identify and monitor risks.
- Analysing the company’s compliance with regulatory requirements.
- Maintaining the Breach Register, ensuring Breaches are reported and completed to a high standard and within the agreed SLAs.
- Maintaining the clients Complaint Register and providing support to the Complaints Team at point of escalation.
- Analysing the root causes of regulatory and procedural breaches.
Key Requirements
- Minimum of 3 years’ experience in Financial Services, preferably in the Investment and Life Protection sectors, with at least 1 year in the Compliance sector.
- Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally.
- Experience of compliance monitoring, risk management and / or internal audit skills.
- Awareness of the FCA handbook and data protection.
Salary – £55,000 + benefits (dependent on experience)
For more information, please call 0203 805 5532 or upload your CV below.
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