Junior Compliance Assistant

Robert Half
100.00 - 120.00 GBP Daily
10 Aug 2017
18 Aug 2017
Contract Type
Junior Compliance Assistant

Robert Half Financial Services are representing a small and dynamic FCA-regulated multi-asset brokerage in the City of London is seeking a compliance assistant, ideally with some Compliance, or AML/ KYC Client Onboarding experience acquired from within a retail brokerage environment. A graduate calibre profile is ideal.

The role is temp-to-perm and ideally looking for an immediate start.

Reporting to the Head of Compliance, you will be exposed to the whole range of compliance activities and be expected to demonstrate a hands-on approach from day one.

On offer is the chance to join a tight-knit team operating in a fast-moving environment, with interesting and challenging work.


1 New account KYC and Onboarding - ensure all accounts are opened in accordance with AML policies and in a timely manner; assist in the regular KYC review of accounts.
2 Manage the client complaints process, including investigation, drafting responses to clients and FOS, as necessary (but with support and oversight of the Compliance Officer).
3 Develop and ensure that TCF Management Information and procedures are accurate and updated regularly.
4 Review financial promotions, ensuring the appropriate risk warnings are in place.
5 Develop the Firm's manuals, policies and procedures in line with best practice and ongoing regulatory change.
6 Assist the MLRO, ensuring the implementation of ongoing adherence to financial crime controls including transaction monitoring, risk assessments, and the Firm's compliance monitoring program.
7 General compliance related recordkeeping and administrative duties.
8 Assist with system implementation/enhancement projects on an ad- hoc basis.
9 Contribute to MiFID II related workstreams.

Required Experience/Knowledge/Skills:

1 Experience in a TCF environment.
2 Complaints investigation and handling.
3 Good working knowledge of FCA Handbook, especially COBS sourcebook.
4 Up to date knowledge on retail industry developments and current regulatory issues.
5 Flexible and confident, with the ability to work independently and with initiative.
6 Excel and Word competency
7 Languages: any European language is welcomed.


Between GBP100 per day- GBP120 per day, dependent upon experience.

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply.