Compliance and Legal Assistant

THE COMPANY:

Our client is a London-based broker and market maker, specialising in the trading of futures, options and other derivatives.

THE RESPONSIBILITIES:

• Attendance and minute taking at board meetings and various committees, and other meetings as required.
• Writing minutes and circulating them to the Directors and other relevant staff.
• Collating board packs
• Circulation of written board resolutions and other communication with external directors.
• Ad hoc filings to Companies House (e.g. new director appointments).
• Liaising with other offices on new guarantees.
• Preparing and proofreading documents for execution.
• Sending out template agreements and documentation.
• Issuing letters to customers and business partners
• Maintaining and updating databases.
• Updating other departments on concluded documentation.
• Ad hoc legal research.
• Possibly some drafting and negotiating of contracts and other documents where required.
• Preparing presentations
• Liaising with counterparties on any guarantee renewals.
• Carrying out KYC checks and preparing and issuing account opening documents to new customers.
• Carrying out various other administrative tasks

EXPERIENCE REQUIRED:

• Previous experience of working within a legal/compliance department is preferred.
• Financial services (Regulated environment) experience would be advantageous.
• Passion for legal/regulatory work and eager to learn from others and independently.
• Ability to demonstrate initiative and common sense, with a very strong attention to detail.
• Co-operative nature and able to work both within the team and without supervision

For further information please contact Natalie Eshelby