Junior Compliance Officer - Professional Service Firm - Central London

16 Apr 2017
16 May 2017
Contract Type
Full Time

About the Role:

FourthLine are exclusively representing our accounting client based in London to recruit for a dedicated junior compliance officer role. We are looking for candidates with generalist compliance knowledge and experience within a mid-tier accounting firm. We are excited to offer this to candidates who are looking to broaden their skill set. Candidates with exposure to FCA and ICAEW handbooks and rules are essential.

This is an exciting opportunity to join a rapidly growing firm with a diverse high calibre client base and interesting compliance projects.

Main Responsibilities:

To assist the Senior Compliance Manager in the following areas as well as responding to internal queries and assisting with training when required:


  • Client on-boarding process which includes KYC checks
  • Existing client ongoing compliance monitoring procedures and controls
  • Administrative tasks including record-keeping, document management

Due Diligence

  • Assisting Financial Accounts Team with client due diligence issues
  • Administrative tasks including record-keeping, compliance procedures updates and minute keeping

Complaint Handling

  • Claims handling including monitoring deadlines/disclosure requirements
  • Administrative duties including record-keeping, internal reporting and procedural updates

Financial Services/Planning Department

  • Financial administration including allocating commission receipts and liaising with the Financial Accounts Team
  • Ad-hoc queries regarding FPD specific software applications [DeFacto/Aequos Engage]
  • Internal reporting requirements including monthly and annual financial reporting

Fee Protection Loss Prevention

  • Annual renewal administration
  • Monitoring claims/ existing claims
  • On-boarding new joiners

If you are interested in this role please apply below with your most up-to-date CV. I look forward to hearing from you.