Compliance Assistant

This small but successful brokerage firm is looking to expand its scope of activities and is expanding into banking. To continue to effectively support the business they are looking to bolster their compliance team by hiring a Compliance Assistant

Reporting into the Head of Compliance, the successful candidate will help to ensure that the company is fully compliant and adheres to each and every compliance activity accordingly.

Key responsibilities include:

  • Responsible for the complete and accurate provision of reporting regulatory information required both on an internal and external basis
  • Complete compliance monitoring to assess the companies compliance with FCA regulatory requirements
  • Responsible for ensuring that the TCF Management Information and procedures are accurate and updated regularly
  • Assist the MLRO, ensuring the implementation of and ongoing adherence to Financial Crime Controls including procedural reviews, transaction monitoring and monitoring the tasks delegated to 3rd party administrators
  • Sign off financial promotions ensuring the appropriate risk warning is in place
  • Organise training and exams for staff
  • Keep up to date and be proactive in implementing new policies and procedures or updates to staff in a timely manner
  • Work with New Accounts to ensure that all accounts are opened and checked and cleared in a timely and accurate manner
  • Ensure that all compliance activity is accurately recorded
  • Answer ad-hoc compliance questions from within the business

Key Skills and Experience

  • Circa 12 – 24 months relevant compliance experience ideally gained at bank or broker
  • Fully aware and up to date with compliance and money laundering processes and procedures
  • Degree educated, ideally in a management or finance discipline
  • Professional compliance qualifications (desirable not essential)
  • Proven written and oral communication skills

Please apply here