Compliance Assistant (Control Room & Monitoring)

Kennedy Pearce Consulting
Up to 87500.00 GBP Annual
14 Sep 2017
19 Sep 2017
Contract Type
Our client, a City based Wealth Management firm are looking to recruit a Compliance Assistant to sit within the Control Room/Monitoring space (Associate level), paying GBP75-87500k, with GBP6k car allowance.
Main objectives:
To join the Group Compliance Department, supporting compliance at an award-winning wealth management firm. This position will play a vital role in delivering the control framework for an expanding and progressive business. Assisting the Compliance Monitoring Manager on a day-to-day basis, including deputising where appropriate, the candidate will perform a wide variety of activities, including testing, reporting, co-ordination and other assurance functions.

Control Room

* Large Holdings and Takeover monitoring (and reporting where relevant)
* Transaction reporting
* Reviewing, investigating and clearing system driven transaction monitoring alerts (daily and monthly)
* Reviewing, investigating and clearing market abuse and best execution alerts
* Staff dealing reviews
* Gifts & Entertainment reviews


* Assist the Compliance Manager in all aspects of delivering monitoring programme
* Carry out desk based and thematic reviews of the Division, as part of second line of defence.
* Carry out monitoring tasks independently or in collaboration with other monitoring team members
* Business-facing reviews of key business activities and adherence to controls
* Composition of reports of completed reviews and monitoring activities
* Tracking and follow up of recommendations and actions

Experience, Skills and Competencies Required

* Methodical, structured and rigorous approach to delivery
* Strong problem solving and analytical skills
* Excellent organisation skills
* Ability to prioritise and work on own initiative.
* Excellent oral and written communication skills
* Ability to foster strong working relationships within the team and with the businesses