Assistant Compliance Officer - Liverpool

Robert Walters
Liverpool, Merseyside
11 Jun 2017
11 Jul 2017
Contract Type
Full Time

A long established and successful wealth management organisation is currently seeking an Assistant Compliance Officer to join its operations based in Liverpool. Reporting to the Compliance Officer, the purpose of the role is to implement the compliance monitoring programme as set out by the Board.

Key duties include:

  • Carry out file reviews to ensure compliance with the FCA Conduct of Business Sourcebook.
  • Undertake monitoring of deals for market abuse and suspicious transactions.
  • Assist with reconciliations of client assets and client money to ensure compliance with the FCA Client Assets Sourcebook.
  • Carry out anti-money laundering assessments on new clients and approve account opening.
  • Assist in drafting the firm's compliance policies and procedures.

The successful candidate will have/be:

  • 'A' Level educated or equivalent
  • Proven track record in a wealth management back office
  • Strong interest in regulatory aspects of financial services
  • Ideally a background working in a compliance department
  • Excellent communication, analytical and organisational skills

This is an excellent opportunity to forge a long term career within compliance. Please reply with an updated copy of your CV as applications on this role are due to close shortly.