Compliance Assistant - Financial Markets (Agency Exclusive)

Recruiter
LMA Recruitment Ltd
Location
City Of London
Salary
£30k - £38k pa
Posted
09 Apr 2017
Closes
09 May 2017
Contract Type
Permanent
Hours
Full Time
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. Experience - It is essential to have at least 1 year 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