Compliance Assistant

THE COMPANY:

Our client is a London-based commodities firm. This is a broad and varied role to assist with the smooth running of the Compliance & Legal Department.

THE RESPONSIBILITIES:

• Issuing letters to customers and business partners (e.g. finalising, printing out and posting).
• Work relating to 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,
• Assisting with trade surveillance e.g. by checking and collecting information relating to alerts.
• Carrying out due diligence on third parties
• Performing the department’s tasks relating to systems and controls
• Reviewing existing compliance policies and procedures
• Completing tasks required under the SMCR
• 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

EXPERIENCE REQUIRED:

• Previous experience of working within a compliance/legal department is preferred.  Financial services (Regulated environment) experience would be advantageous.
• Passion for compliance and regulatory work and eager to learn from others and independently.
• Ability to demonstrate entrepreneurialism, initiative and common sense
• Co-operative nature and able to work both within the team and without supervision.
• Highly organised and able to meet deadlines, especially at busy periods of the month.
• Flexible and adaptable.
• Excellent MS Office skills

For further information please contact Natalie Eshelby