Exciting Compliance opportunity working for this top Global City brokers, ideally suited to a Compliance Assistant with experience of working in-house for a financial services institution. This is a broad and varied role to assist with the smooth running of the Compliance & Legal Department, supporting the Head of Legal & Compliance and wider team. The role offers a 'stepping stone' to get involved with all generalist areas of compliance and develop your career working for a premier name in Commodities trading.
The role
- Issuing letters to customers and business partners (e.g. finalising, printing out and posting).
- Supporting with anti-money laundering and financial crime controls including customer onboarding, CDD/KYC checks, completing customer risk assessments and customer risk data collection.
- Conduct and financial crime risk monitoring, including voice and written communications monitoring and monitoring of incoming and outgoing payments.
- Assisting with trade surveillance e.g. by checking and collecting information relating to alerts.
- Carrying out due diligence on third party outsourced service providers.
- Performing the department’s tasks relating to systems and controls e.g. checking new bank account details and completing account amendment forms and other system amendments.
- Reviewing existing compliance policies and procedures and draft amendments to new procedures, where required.
- Completing tasks required under the SMCR such as preparing and issuing the necessary documents for staff certification.
- Providing staff training on compliance matters.
- Completing and submitting returns and reports to the FCA and other authorities.
- Maintaining and updating databases.
- Preparing management information and reports to internal stakeholders.
- Ad hoc research on FCA rules and laws and regulations affecting the firm.
- Carrying out various other administrative tasks to assist the smooth operation of the department, such as enabling/terminating access to various trading systems etc.
Person Specification
- Previous experience (2-4 years) of working within a compliance/legal department is preferred.
- Background in financial services/Regulatory environment would be advantageous.
- Ability to work on own initiative with a very strong attention to detail and good writing skills.
- Independent working as well as supporting and being part of a collaborative team.
- Highly organised and able to work to deadlines
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