Compliance Associate

THE COMPANY:

Our client is a multinational investment banking and stockbroking firm.  They are looking for a Compliance Associate to join their London-based team.

THE RESPONSIBILITIES:

• Monitoring the firm’s client base to ensure compliance to AML / KYC standards, this will include:
• Complete regular tasks in accordance with the Compliance Monitoring Plan.
• Assist in updating the Compliance Risk Assessment
• Assist with regulatory guidance/advice where required.
• Review firm-wide policies and procedures against regulatory requirements and best practices.
• Undertake regulatory horizon scanning ensuring that all regulatory changes impacting the firm are identified.
• Assistance in the design and delivery of firm wide Compliance training where required.
• Assist with the development and enhancement of the overall Risk and Compliance function.

EXPERIENCE REQUIRED:

• Experience in compliance roles within the financial services industry
• Good knowledge of AML and CTF regulations, and FCA rules.
• Degree educated, ideally a law degree

For further information please contact Natalie Eshelby