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Compliance Assistant (Job Ref:5921)

Investment Banking | Monitoring | Permanent | Up to £40,000 | City - London

THE COMPANY:

 

Our client is a leading European Bank with specific focus on investment banking and corporate finance.

 

THE RESPONSIBILITIES:

 

Compliance

  • Assist the Head of Compliance in implementing regulatory changes within the organization
  • Providing day to day operational compliance advice to ensure any issues are appropriately addressed
  • Carry out and monitor PA Dealing
  • Carry out the detailed requirements of the annual Compliance Monitoring Plan
  • Complete Approved Person applications to the regulator via the FSA online database
  • Ensure account opening documentation for new client accounts is thoroughly verified and completed
  • Review and summarise FSA consultation papers and policy statements to assess the impact on the firm's policy and procedures

 

Anti Money Laundering / Financial Crime

  • Carry out due diligence on new and existing clients
  • Assist and advise staff on Financial Crime related matters as required
  • Assist the MLRO in the research, preparation and delivery of management reports
  • Ensure that changes to financial crime related laws and regulations are implemented
  • Participate in Monthly Conference calls with Group MLRO
  • Perform sanctions and negative media screening, reviewing output and taking appropriate action
  • Assist the MLRO in providing financial crime training to all business areas

 

EXPERIENCE REQUIRED:

 

  • Relevant experience within a compliance department
  • Able to demonstrate a sound and working knowledge of Compliance and AML
  • German Language an advantage

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