Assistant Compliance Officer & Internal Auditor

Assistant Compliance Officer & Internal Auditor Hertfordshirec£40,000 + Benefits

We are currently recruiting for an Assistant Compliance Officer & Internal Auditor on behalf of our client, a highly regarded SME fintech business based in Hertfordshire.

The key purpose of the role is to provide a Compliance and Risk service and support to the company and all employees, ensuring that all relevant activities adhere to all appropriate regulatory requirements.

Key Responsibilities - Assistant Compliance Officer

• Supporting the Head of Compliance to ensure procedures and services delivered, adhered to the regulations that apply to a regulated financial services business.
• Ensuring that all relevant regulatory requirements are met during operational practice including the FCA’s Consumer Duty, Conduct Rules and Principles.
• Engaging with clients as appropriate to enhance the company's service in the delivery of critical or important functions.
• Participating in and contributing to the compliance culture of the broader management group of the business.
• Ensuring that all day to day business-as-usual compliance breaches and complaints handling support is provided.
• Acting as a second line of defence to identify and monitor risks, and providing a feedback loop to Head of Compliance & Risk and the Operational Practice of the company.
• Providing induction and ad hoc compliance training and coaching.
• Analysing the root causes of regulatory and procedural breaches, ensuring that practical remedial actions have been taken to mitigate against future occurrences.
• Providing support to the Compliance Trainee.

Key Responsibilities - Internal Auditor

• Managing and undertaking monthly ISO27001 audits to ensure the company's obligations are met.
• Maintaining and annually updating the company's internal audit procedures, including audit schedule, prior to commencing the following year.
• Working closely with the Chief Security Officer, meeting regularly to discuss findings and agree process improvements.
• Assisting the Chief Security Officer by undertaking audit checks prior to the annual audit by BSI.
• Escalating any ISO security risk within the company.
• Implementing controls, documenting procedures and completing risk assessment reviews as required.

Key Requirements

• Minimum of 3 years’ experience in Financial Services, preferably in the Investment and Life Protection sectors, with at least 1 years' experience in the Compliance sector.
• Good interpersonal and communication skills, with the ability to identify and build important strategic relationships both internally and externally.
• Advanced Excel skills and highly numerate.
• Experience of compliance monitoring, risk management and/or internal audit skills.
• Good interpersonal and communication skills.
• Awareness of the FCA handbook and data protection, with a basic awareness of ISO27001 Standard.

Keywords: Assistant Compliance Officer; Internal Auditor; Internal Audit; Audit; Compliance; Risk; Risk and Compliance; ISO27001; Fintech, Financial Services

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