Compliance Assistant

Compliance Assistant

Our client, a City based brokerage are looking to recruit a Compliance Assistant, paying up to £30k, perm to fully assist the Compliance team with the daily running of the compliance office. Dealing with all queries and issues in a timely manner.

Roles & Responsibilities

Main duties

* Provide advice and assistance regarding the opening of new accounts and new applications where needed;
* Sign off applications when Compliance input is required;
* Liaise with the marketing team to ensure the relevant processes and procedures are followed and marketing materials are compliant with the regulations;
* Update the compliance log with declined applications;
* Assist with complaint handling process where required;
* Gather information for the monthly MI, enhancing effectiveness where necessary;
* Conduct thematic reviews under the firm’s compliance monitoring programme;
* Prepare management pack providing all information regarding compliance activity for senior management team
* Provide other assistance as required by Head of Compliance and direct manager on an on-going basis;
* Provide regulatory updates, reports and research on requested subjects;
* Maintain branch Training & Competence log;
* Support the Head of Compliance with risk analysis;
* Assist in putting in place control mechanisms to ensure company is fully compliant at all times.

Qualifications required

* At least 2 years’ experience of working in compliance environment
* Should have professional qualifications, and/or be degree-educated.

Desirable experience

* Analytical skills in order to assess data
* Ability to easily identify issues
* Good understanding of all FCA and securities regulations relating to compliance
* Ability to work to very tight deadlines

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