Assistant to Compliance Officer - TPD 345

Job Type: Compliance

Salary: A salary of between £38 - 40,000 dependent on experience together with a generous benefits package

Location: Central London

Sector: Compliance and Risk

Job Description

The role provides support to the Compliance Officer in all aspects of Compliance and Office related administrative duties. Support to employees, Appointed Representative and Associate Companies regarding the Group’s Compliance activities, policies, processes and procedures.

  • Provide administrative support to Compliance Officer.

  • Monthly systems and control reports.

  • Maintaining TOBA lists.

  • Management of regulatory requirements of the company and its Appointed Representatives including setting up, monitoring, maintaining adequate and appropriate systems and controls to ensure regulatory compliance.

  • Review and implement regulatory changes and provide training to the business as required.

  • Overseeing the company’s compliance plan to ensure it is managed in accordance with the company’s objectives.

  • Providing advice and as necessary management of any parts of the FCA Compliance Plan preparing reports as required.

  • Providing staff advice, training and support as necessary to ensure adherence with the company’s Compliance Procedures Manual..

  • Internal files audits in accordance with company’s Internal Files Audit Plan.

  • Compiling regulatory returns for our Client and all sponsorship companies and ensuring they are submitted within set timescales.

  • The Setup of compliance processes and Training for all new sponsorship companies.

  • Maintenance of the companies Compliance Manual to ensure it is meeting its regulatory obligations.

  • Maintenance and development of Business Continuity and Disaster recovery plans.

    Skills and competencies:

  • Knowledge of FCA Compliance in relation to Insurance requirements for commercial and retail business.

  • Ability to communicate and discuss issues with senior personnel within the Company, Associate and Appointed Representative (AR) Companies

  • Ability to effectively organise allocated work activities and plan workload both on a day to day basis and throughout the month.

  • Ability to recognise when issues need to be escalated or advised to senior colleagues.

  • Attention to detail.

  • Personable approach with an interest in people

  • Interest in FCA regulations

Further details on application to:

mo@tpdassociates.co.uk