Job Description Job Title: Assistant Compliance Officer & ISO27001 Internal Auditor
Reporting to: Head of Risk and Compliance
Job Mission :
Provide a Compliance and Risk service and support to both companies and employees to ensure all relevant activities adhere to all appropriate regulatory requirements.
To support the Head of Compliance to ensure procedures and services delivered adhere to the regulations that apply to a regulated financial services business.
Ensure all relevant regulatory requirements are met during operational practice including the FCA’s Consumer Duty, Conduct Rules and Principles.
Engage with clients as appropriate to enhance OPAL’s service in the delivery of critical or important functions.
Participate in and contribute to the compliance culture of the broader management group of the businesses.
Act as OPAL ISO27001 internal auditor
Principal Job Objectives
Provide support to Head of Compliance in AMLand Data Protection advice and guidance
To support the Head of Compliance in ensuring all regulatory returns being completed accurately and in a timely manner as per the Governance Schedule for both companies.
Ensure all day to day business as usual compliance breaches and complaints handling support is pr...