Compliance Monitoring assistant

5 days left

Reed Banking
04 Feb 2017
04 Mar 2017
Contract Type
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.

• 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