Compliance Officer - City Broker

28000.00 - 30000.00 GBP Annual + + Company Package
14 Sep 2017
22 Sep 2017
Contract Type
Prestigious city broker business with an unblemished 15 year history and 200+ staff globally are seeking a Compliance Assistant to join their core Compliance function.

Main Duties will Include;

Provide advice and assistance regarding the opening of new accounts and new applications where needed;

Sign off applications when Compliance input is required;

Liaise with the marketing team to ensure the relevant processes and procedures are followed and marketing materials are compliant with the regulations;

Update the compliance log with declined applications;

Assist with complaint handling process where required;

Gather information for the monthly MI, enhancing effectiveness where necessary;

Conduct thematic reviews under the firm's compliance monitoring programme;

Prepare management pack providing all information regarding compliance activity for senior management team

Provide other assistance as required by Head of Compliance and direct manager on an on-going basis;

Provide regulatory updates, reports and research on requested subjects;

Maintain branch Training & Competence log;

Support the Head of Compliance with risk analysis;

Assist in putting in place control mechanisms to ensure company is fully compliant at all times.

Qualifications required.

At least 2 years' experience of working in compliance environment

Should have professional qualifications, and/or be degree educated. Desirable experience

Analytical skills in order to assess data

Ability to easily identify issues

Good understanding of all FCA and securities regulations relating to compliance

Ability to work to very tight deadlines