Compliance Assistant

  • Location

    City of London, London

  • Sector:

    HR & Executive Support

  • Job type:


  • Salary:

    £50000 - £55000.00 per annum

  • Contact:

    Tracy Freeman

  • Contact email:


  • Job ref:


  • Published:

    over 1 year 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.

Key Duties:

  • 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

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