Compliance Monitoring assistant

Recruiter
Reed Banking
Location
London
Salary
30000.0000
Posted
04 Feb 2017
Closes
04 Mar 2017
Contract Type
Permanent
Hours
Full Time
This is an excellent opportunity to join a modern and dynamic firm, which is well established and is going from strength to strength!! This market leading Forex and Brokerage firm is looking for a Compliance Monitoring Assistant, the suitable candidate will have 1 year experience in a similar role within the Financial Services industry.

RESPONSIBILITIES
• Completion of daily client account monitoring for PEP and Sanction matches.
• Review of daily transactional monitoring alerts.
• Periodic file reviews on existing client database, to ensure information held is kept up to date.
• Liaise with sales team and clients to request required documentation to bring files up to current on-boarding standards.
• Log issues identified in compliance monitoring reviews and agree actions to address these issues.
• Provide regular reporting as to the status of files that have been and are currently under review.
• Monitoring of internal phone calls to ensure regulatory requirements are not breached.
• Provide input and assist with testing and development of new systems.
• Assist with on-boarding of new clients.
• Documentation filing, account maintenance and administration.

Reed Specialist Recruitment Limited is an employment agency and employment business