Assistant Compliance Officer

Posted 6 April by Alexander Lloyd Easy Apply

I am currently recruiting for an Assistant Compliance Officer to interview with my Banking client in the City of London.

Assisting the Compliance Officer in carrying out the following responsibilities:

  • Monitoring regulatory developments, advising management and staff of such developments and overseeing change.
  • Maintaining a regulatory map and regulatory risk matrix (RRM)
  • Maintaining a compliance diary of returns and reports required (other than financial reporting) and filing those returns and/or submitting those reports.
  • Maintaining a compliance monitoring plan based on the RRM.
  • Supervising regulatory operational requirements
  • Advising on company law and corporate governance matters
  • Communicating with the regulators
  • Advising on one-off compliance matters, including transactions.
  • Assisting with investment related queries and documentation .
  • Assisting with Treasury-related Compliance matters


The ideal candidate will have a Degree and/or Legal or Compliance qualifications.

Please quote (42722) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.

Reference: 34847797

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