Compliance Assistant

£30K - £35K + Bonus & Benefits
10 Jul 2019
08 Aug 2019
Contract Type
Full Time

A financial services firm is looking for a Compliance Assistant to join their small, but growing, business in a role that will split between their Surrey & London offices. Ideally the candidate will live in Surrey and be comfortable travelling to London 3 days a week. An exciting opportunity for a junior compliance candidate looking for a broad and varied role. This role will suit an organised & personable individual who will be comfortable both working autonomously and alongside the broader business depending on the specific work.

Main Responsibilities

  • Assist with the quarterly regulatory compliance risk assessment processes.
  • Assisting with maintaining the various compliance registers.
  • Supporting the effective operation of the complaints process.
  • Maintaining and contributing to the development, implementation, review and revisions of regulatory compliance policies, procedures & systems.
  • Developing and enhancing compliance reporting;
  • Assisting with all data protection matters within the business.
  • Assist the General Counsel with ad hoc duties as and when required.

Job Requirements:

  • At least 12 months Compliance experience working within a financial services business.
  • Personality is key, a good communicator who must be driven and be comfortable getting involved with all levels of work.


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