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Compliance Assistant - Financial Markets

  • Location: City of London, London
  • Sector: Compliance
  • Salary: £38000 - £45000 per annum
  • Job type: Permanent
  • Date posted: 26/01/2018
  • Job reference: 901254
This vacancy has now expired.

Compliance Assistant - Financial Markets (Exclusive Role)

Our client is a diverse financial market business whose business encompasses both proprietary trading and investment management. It has offices in three global hubs
It requires an ambitious Assistant to work closely with its Compliance Officer and compliance team. Due to the team size and size of the business, this role will offer someone a chance to have a varied and wide remit across all compliance areas, with a mix of compliance monitoring and advisory, with plenty of opportunities to grow and develop within the company.

Responsibilities include:

* Assisting the compliance officer in monitoring compliance with FCA rules and other applicable regulations.
* Maintaining the Compliance Manual, policies and procedures and compliance registers.
* Preparing compliance reports for various management committees and attend meetings as required to address compliance issues
* Advising the business on compliance matters.
* Monitor changes in regulations and how these may affect the Firm.
* Ensure that compliance and regulatory risks within the business are identified, assessed and managed.
* Review marketing documentations, newsletters and advertising.
* Ensure appropriate Compliance training is provided to the Business.
* Produce reports/MI for the Business and other stakeholders.


* It is essential to have at least two years of financial services compliance experience.
* Good working knowledge of the UK regulatory framework
* Preferably to have a professional compliance qualification, or working towards one.
* Educated to degree standard, with legal knowledge a plus

Salary is negotiable + bonus + sponsored compliance qualifications

Please email your details ASAP

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