Compliance Assistant

Compliance Assistant

Posted Today by TieTalent

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Negotiable
Undetermined
Remote
City Of London, England, United Kingdom
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Administrative Support Business Continuity Data Analysis Device Tracking Software External Auditing Finance Financial Services Financial Services Authority General Insurance Input/Output Internal Auditing Internal Communications Intranet Microsoft 365 Microsoft Excel Microsoft Office Microsoft PowerPoint Organisational Skills SIPOC Process Supervision

Summary: The Compliance Assistant plays a crucial role in supporting the Compliance Manager and the Risk Assurance team to ensure adherence to regulatory requirements and internal policies. This position involves maintaining compliance documentation, assisting with audits, and ensuring staff are informed of compliance obligations. The role requires strong organizational skills and attention to detail, along with the ability to work independently and collaboratively. The Compliance Assistant will also be involved in training sessions and tracking regulatory developments.

Key Responsibilities:

  • Maintain accurate and up-to-date company policies, compliance policies, and key records.
  • Ensure policies, procedures, and manuals are accessible and chase departments for overdue updates.
  • Update Risk Assurance Intranet sites and publish awareness articles with the Internal Communications team.
  • Prepare the Lloyd's annual compliance return for review by the Compliance Manager.
  • Monitor and track regulatory developments and circulate updates to relevant departments.
  • Coordinate and design compliance training sessions, deliver sessions, and maintain training records.
  • Maintain the E-Learning insurance compliance system.
  • Support preparation and submission of reports to Executive and Audit and Risk Committee.
  • Input regulatory returns for the FCA and Lloyd's of London with oversight from the Risk and Compliance Officer.
  • Undertake sanction checks on suppliers as requested by the Procurement team.
  • Assist with internal audits and gather documentation for auditors.
  • Track all risk assurance actions through to completion.
  • Respond to routine queries regarding compliance policies and procedures.
  • Escalate potential compliance issues to Risk Assurance as appropriate.
  • Conduct compliance reviews and control testing under the supervision of the Compliance Manager.
  • Maintain key records for the department such as business continuity plans.
  • Support the team with projects or tasks such as data analysis or report reviews.

Key Skills:

  • High attention to detail and strong organisational skills.
  • Ability to work with confidential information discreetly and professionally.
  • Strong written and verbal communication skills.
  • Ability to work independently and as part of a team.
  • Competent in Microsoft Office (Word, PowerPoint, Excel, Outlook, etc.).
  • A methodical and proactive approach to tasks.
  • Presentation skills.
  • Administrative or clerical experience, ideally in a compliance, legal, or finance environment.
  • Understanding of basic compliance or regulatory principles.
  • Desirable: Experience in a regulated industry (e.g., financial services, healthcare, legal).
  • Further education in law, business, or compliance-related subjects.
  • Knowledge of GDPR, FCA regulations, or other relevant frameworks.

Salary (Rate): undetermined

City: City Of London

Country: United Kingdom

Working Arrangements: remote

IR35 Status: undetermined

Seniority Level: undetermined

Industry: Other

Detailed Description From Employer:

About

Location: Remote

Contract type: Permanent

Hours: Full time

Department: Risk Assurance

Purpose of Job: The Compliance Assistant supports the Compliance Manager, Risk Assurance and also the wider, Risk Assurance team in ensuring the organisation adheres to regulatory requirements, internal policies, and industry standards. This role involves administrative support, maintaining compliance documentation, assisting with audits and regulatory returns, and helping ensure staff are informed of compliance obligations.

Key Responsibilities:

  • To maintain accurate and up-to-date company policies, compliance policies and key records such as manuals, guidance and training materials and registers such as gifts and hospitality register/ conflicts of interest register.
  • To ensure policies, procedures, and manuals are up to date and accessible for all staff and chase departments when policies are significantly overdue.
  • To ensure all Risk Assurance Intranet sites are up to date and ensure there is a regular programme of awareness articles published with the Internal Communications team.
  • To prepare the Lloyd's annual compliance return for review by Compliance Manager.
  • To assist in monitoring and tracking regulatory developments and industry best practices and circulate regulatory updates to the relevant departments.
  • To help coordinate and design compliance training sessions, deliver sessions and maintain regulatory training records.
  • To maintain the E- Learning insurance compliance system including removal of starters and adding/removing users.
  • To support the preparation and submission reports to Executive and Audit and Risk Committee.
  • To input regulatory returns for the FCA and Lloyd's of London with oversight and sign off by Risk and Compliance Officer
  • To undertake sanction checks on suppliers as requested by the Procurement team.
  • To assist with internal audits, including gathering documentation for the MDU's internal auditors and third party coverholder reviews.
  • To track all risk assurance actions both internal audit, compliance and others through to completion.
  • To respond to routine queries regarding compliance policies and procedures.
  • To escalate potential compliance issues to Risk Assurance as appropriate.
  • In light with the compliance monitoring plan, to undertake compliance reviews and control testing including file reviews under the supervision of the Compliance Manager and report on results.
  • To maintain key records for the department such as business continuity plans and updates to departments policies and procedures.
  • To support the team with any projects or tasks such as data analysis or review of reports to the Audit and Risk Committee and development of consumer duty reports.

About You

High attention to detail and strong organisational skills

Ability to work with confidential information discreetly and professionally

Strong written and verbal communication

Ability to work independently and as part of a team

Competent in Microsoft Office (Word, Powerpoint, Excel, Outlook, etc.)

A methodical and proactive approach to tasks

Presentation Skills

Administrative or clerical experience, ideally in a compliance, legal, or finance environment

Understanding of basic compliance or regulatory principles.

Desirable

Experience in a regulated industry (e.g., financial services, healthcare, legal)

Further education in law, business, or compliance-related subjects

Knowledge of GDPR, FCA regulations, or other relevant frameworks

You may also have experience in the following roles: Regulatory Assistant, Risk Assistant, Compliance Coordinator, Governance Assistant, Policy Administrator, Audit Assistant, Compliance Officer, Risk Coordinator, Regulatory Coordinator, etc.

REF-(Apply online only)

Nice-to-have skills

Powerpoint

City of London, England

Work experience

HR

Languages

English

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