Compliance Associate

Compliance Associate

Our client, a West End based Asset/Investment Manager are looking to recruit a Compliance Associate, paying £40-45k, perm.
This is a fantastic opportunity for a dynamic and talented Compliance professional, with experience within the Financial industry to come on board and hit the ground running. The successful Compliance Associate will work closely with the Compliance team, with a primary focus on managing day to day business queries and tasks, including the approval of client accounts and financial promotions. Duties will include: due diligence checks; assisting with the development of improved procedures; monitoring compliance AML and other regulatory requirements; file reviews and monitoring; analysing client feedback and preparing data. Excellent IT skills and a detail orientated approach to your day to day work will therefore be essential.

Key responsibilities include:

* To take the lead with all aspects of on-boarding clients and broker-counterparties;
* Carrying out of KYC reviews, approvals and relayed AML projects;
* Working with and assisting the MLRO with complex clients;
* On-boarding of Appointed Representatives and Tied Agents;
* Preparation of monthly regulatory reports which are disseminated to the Board;
* Preparing and carrying out company-wide-training;
* Maintaining new joiners/leavers files and Training & Competence files;
* Preparation of approved persons forms and update of[ASL1] approved persons records accordingly;
* Drafting, reviewing and on-going management and company-wide adherence to compliance policies and procedures;
* Supporting the compliance officer in ad hoc projects;
* Approving all employee personal trades and to ensure staff members have obtained the required approval before trading;
* Providing Compliance Inductions to all new members of staff;
* Rolling out of AML courses, the firm’s AML Handbook and the firm’s Compliance Manual to all new members of staff;
* Any other tasks associated with those listed above;
* And other tasks that may be assigned to you from time to time.

Skills and experience

* 1 years+ experience working with compliance team within financial services
* Educated to degree level
* Technical knowledge KYC/AML
* Strong organisational skills and ability to successfully manage multiple tasks proactively within a team environment
* Excellent written and verbal communication skills
* Ability to prioritise and meet deadlines
* Good interpersonal skills and ability to work independently
* Strong IT skills and proficiency in Excel.
* Previous investigative experience
* Experience of Financial Crime and Risk within an international setting


Our clients deserve the best and the same goes for our people. That’s why you’ll receive a range of benefits including a competitive salary, flexible operating framework and all the tools, technology and support to help you become the very best you can be.

Regulated role


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