City of London, London
£50000 - £55000.00 per annum
9 months ago
Compliance Assistant - £50,000 - £55,000
My client a City Trading house are looking to hire a Compliance Assistant to support the Head of Compliance.
- Support the Head of Compliance.
- Day to day compliance oversight of operations, not only in the UK but globally.
- Delivery of the compliance monitoring programme.
- Review and approval of financial promotions.
- Review of new account opening.
- Monitoring of regulatory and legislative changes and assessing their impact.
- Involvement in the rollout of compliance projects.
- Facilitate training sessions on compliance topics.
- Investigating and escalating to appropriate authorities all suspicious activity.
- Act as the compliance contact for the business.
- Assist with the general development and maintenance of compliance policies and processes.
- Deliver compliance reports, as required.
- Work with the Head of Compliance to interpret regulatory developments affecting the business.
- Assist in the delivery of the Compliance Monitoring Plan.
- Assist in recording and responding to client complaints and preparing complaints related management information.
- Review and approve financial promotions.
- Assist in account opening queries including KYC requirements, corporate applications and PEP/Sanction screening.
- Other tasks and responsibilities as assigned by the Head of Compliance.
- Any administrative task request of the HOC