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Compliance Assistant

  • Location

    City of London, London

  • Sector:

    Operations & Middle Office

  • Job type:


  • Salary:

    £25000 - £30000 per annum

  • Contact:

    Will Goodman

  • Contact email:

  • Job ref:

    WILL COMP AS_1621956333

  • Published:

    about 1 year ago

  • Startdate:


My Client a leading Real Estate Investment Group Company based in the heart of the City are recruiting for a Compliance Assistant.

An ideal candidate will have recently graduated in with a relevant Law degree and would ideally have 6 months experience

The Role

The purpose of this role is to provide in-house compliance support. There is plenty of scope to develop this role and work towards your professional qualifications.

Key Duties to include

  • Updating compliance policies and procedures
  • Assisting with the development of the firms AML processes and procedures
  • Dealing with general internal and external client queries
  • Assisting with responding to regulatory, compliance and AML queries from the business
  • Ensuring new joiners have completed all compliance onboarding documents
  • Assisting with the completion of customer due diligence and KYC process for clients
  • Assisting with designing and delivering regulatory eLearning training, and ensuring that all staff members complete the training
  • Analysing compliance training data, providing feedback and creating reports
  • Maintaining the breaches, complaints and conflicts register
  • Ensuring that all gifts, entertainment and personal account trades are logged appropriately
  • Providing general administrative support to the compliance department
  • Assisting with ensuring GDPR compliance
  • Supporting the Compliance Officer on day-to-day tasks and projects

Candidates Skills/Qualities

  • Recent graduate with some knowledge of UK regulatory requirements and previous compliance experience would be beneficial
  • Excellent interpersonal skills
  • Strong communication skills with the ability to liaise with stakeholders and counterparties of M7
  • Willingness to learn and take ownership of developing the role
  • Ability to prioritise and handle multiple tasks simultaneously
  • Good working knowledge of current and future policies, practices, trends, technology and information affecting the business
  • Strong analytical, research and reporting skills
  • Ability to handle a varied workload
  • Proficiency in MS Word and Excel

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