Compliance Assistant

Compliance Assistant Job Description Template

Our company is looking for a Compliance Assistant to join our team.

Responsibilities:

  • Compliance diary management;
  • Assisting with the preparation and delivery of compliance training;
  • Undertake general administration tasks as required by the Compliance Manager;
  • Support the Data Protection Officer in ensuring GDPR compliance, including reporting of data breaches;
  • Drafting presentations and training decks;
  • Updating compliance policies in line with FCA, ICO and other regulatory bodies’ guidelines;
  • Keeping track of deal progress;
  • To constantly display and encourage ActiveQuote company values of INTEGRITY, UNITY, INNOVATION and PASSION;
  • Processing expenses;
  • Proactively respond to incoming e-mail and telephone queries from internal and external parties;
  • Undertake and manage the Producer ‘self-cert’ process;
  • Keep up-to-date with regulatory developments;
  • Undertake desk-based and routine monitoring functions and tasks;
  • Dealing with day-to-day queries from the business including issues relating to conflicts, complaints and claims;
  • Respond to incoming complaints and requests.

Requirements:

  • Make all appropriate notifications to the FCA;
  • Ensure the firm continues to meet its threshold conditions at all times;
  • Able to work 37.5hrs per week;
  • Produce an annual compliance report for senior manament;
  • As we are regulated by the FCA we are unable to take applications from anyone with a history of bankruptcy, IVAs or CCJs;
  • Ensure that the fitness and propriety of all Approved Persons is reviewed on an annual basis;
  • Ensure that the firm can respond in a timely basis to requests for information from the FCA;
  • Advise senior management in a timely manner of FCA related and other regulatory issues;
  • Manage the firm’s relationship with client’s;
  • Working hours are Monday to Friday 9am – 5:30pm;
  • Comply at all times with the firm’s Compliance and Training & Competence procedures;
  • Keep up-to-date with regulatory developments.