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Compliance Assistant

My Client is an award winning CFD and FX broker and they are looking for an assistant to join the Compliance team,


Objective To assist the team in providing a first class compliance function.


Key Accountabilities

• Advisory: supporting with Regulatory, Compliance and Financial Crime matters including AML, Fraud, Bribery and Corruption and Market Abuse

• Monitoring: test business areas to include EMIR reporting and AML reporting. Assist in Compliance Due Diligence and monitoring of Third Parties.

• Review: policies and procedures, financial promotions and website

• Training: assist and prepare Compliance and AML training within the firm

• Other Administrative tasks and Ad hoc projects


Education & Experience

• 1 year’s previous experience as a Compliance Assistant within the Financial Services industry

• Fast learner – able to pick-up and learn regulatory and business requirements

• Good IT skills – Word, Excel, Power point preferred and ability to learn in-house CRM and trading systems. Previous experience of CRM and trading system would be an advantage

• Self-starter – able to prioritise work and meet deadlines,

• Team player – able to work effectively in a team and with professionals within the business

• Bachelors degree


Person Specification

• Effective communicator; articulate, confident and able to relate to and create trust with ease.

• Planning and organisational skills with a high attention to detail

• Achievements and results drive; the desire to get things done well and the ability to set and meet challenging goals, create own measures of excellence and constantly seeking ways of improving performance

• Resilient; delivers a consistently high-level level of performance irrespective of whether, on a given working day, you are on or off site, have travelled to an event and / or are working remotely from other colleagues.

• Ambassador of the brand; promoting the Company internally and externally


Location: london | Salary: £20000 - £23000 per year | Job Type: Permanent | Posted: 09/05/2017