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.