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Junior Compliance Officer – 9 month FTC

  • Location: Hertfordshire
  • Salary: £20,000 - £25,000 per year
  • Job Type:Permanent

Posted 20 days ago

  • Sector: Compliance
  • Contact: Emilia Thomas
  • Contact Email:
  • Expiry Date: 12 December 2021
  • Job Ref: ET/18311


Assist the Head of Compliance and Governance in maintaining compliance frameworks, with specific duties in maintaining our audit and governance activities. You will be responsible for providing a high standard of administrative support to the executive teams and book-keeping a range of committee meetings as well as providing advice and guidance on a range of policy and procedural matters.

Job Responsibilities:


·           Schedule audit inspections of newly recruited and existing members, notify the parties and stakeholders that the inspection is taking place, ensure reports are received and distributed in a timely manner.

·           Produce management information - monthly/quarterly reports including trends and risk assessment for management information pack and committee reports.

·           Ensure reports are distributed in a timely fashion to relevant members and stakeholders, including Director of Legal & Membership.

·           Ensure audit results, audit plans and member relationship information is recorded on CRM system

·           Monitor and document post-audit follow-up actions, identifying trends for process improvement

·           Compile committee reports, summarising key trends, risk, and recommending stake-holder/group actions

·           Identify corporate/reputational risk and other areas arising from the audit programme

·           Implement internal/web-based due-diligence governance checks e.g. security plans for cv and rental members, new member applicants, maintenance records for commercial vehicle members, Internal Audits and others as required from time to time.


Personal qualities:

       Self-confident and able to synthesise information efficiently

       Planning and organising abilities, good at prioritising, managing several tasks simultaneously.

       Keen attention to detail

       Ability to work on own initiative.

       Strong interpersonal and customer service skills, with the ability to influence.

       Takes responsibility for the task, deals constructively with problems.