Role details

Compliance Assistant

St. Albans   •   £25,000 - £30,000   •  Permanent

Bullet points

  • Reputable Financial Services firm located in St Albans
  • Compliance exposure required

About Our Client

My client is a reputable Financial Services firm with head offices located in St Albans, Hertfordshire.

Job Description

Located in their St Albans head office and reporting directly into the Compliance and Risk Manager, the Compliance Assistant will support and contribute to the provision of a professional compliance service to the firm and its clients. Duties will include:

  • Assist with the monitoring plan as directed by the Compliance & Risk Manager in order to analyse the company's compliance with regulatory requirements including FCA (e.g. COBS, SYSC, TC), data protection, information security, anti-fraud and business continuity requirements
  • Investigate and assist in the management of complaints including drafting final decision letters
  • Demonstrate a commitment to the TCF (treating customers fairly) culture, ensuring fair outcomes for consumers
  • Ability to assimilate Management Information and communicate effectively
  • Assist with the review of all policy and procedure documents
  • Maintain the clients' breach registers
  • Assist the Compliance & Risk Manager in the delivery of internal audit and risk assessment work on behalf of OPAL and its third party clients
  • Undertake weekly PEP and Sanctions checking to satisfy the regulatory requirements
  • General assistance on other compliance and regulatory matters (such as checks of clients' identity, assessing the CBT modules)

The Successful Applicant

  • Exposure to the financial services sector (ideally 1-2 years), preferably with some working knowledge of the FCA handbook and its practical application or within a third party administration firm
  • Good inter-personal and communication skills and be a strong team player
  • Demonstration of effective communication including presentation skills and report writing.
  • Understanding of administration and systems within the company.
  • Knowledge of protection and investment products.
  • Good understanding of the FCA Handbook and regulatory requirements.
  • Professional Qualification e.g. IOC, FPC, CII (desirable)

What's on Offer

Remuneration will include a basic salary of between £25,000 - £30,000 per annum plus benefits.

Apply for this job

Click the Apply or LinkedIn button below or contact Steven Wheller quoting job reference 13700956
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