Compliance Assistant


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Job Ref: 148827
Date Added: 14 September 2017

We are looking for an analytical and process driven Compliance Assistant to support our client who is an international Financial Services firm based near Tower Hill. The role is a permanent opportunity paying around £30,000 per annum with amazing benefits and rewards.
My client is renowned for the execution of their service, excellent customer service and most importantly the advanced funds protection model therefore their Compliance Team is an integral arm to the business.
You will fully assist the tight-knit Compliance team, dealing with all queries and issues in a timely manner
Responsibilities include:
· Provide advice and assistance regarding the opening of new accounts and new applications where needed
· Sign off applications
· 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
· Gather information for the monthly MI
· Conduct thematic reviews under the firms compliance monitoring programme
· Prepare management pack providing all information regarding compliance activity for senior management team
· Provide regulatory updates, reports and research on requested subjects
· Support the Head of Compliance with risk analysis
Essential skills:
· At least 2 years experience of working in compliance environment
Desirable skills:
· 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
In conclusion this is a permanent post, looking to pay £30,000 per annum plus a generous bonus scheme and would require an individual with interest or exposure to Financial Services.
This really is a great opportunity to get involved in a busy and demanding role within a professional and well respected company in the heart of London.
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Tate is acting as an Employment Agency in relation to this vacancy.