Compliance Monitoring Assistant (Financial Services)

Guru Careers
City Of London
£40000 - £45000 Per Annum DOE
Closing date
16 Sep 2020
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Compliance Monitoring Assistant (Financial Services) - London, EC4

A Compliance Monitoring Assistant is needed to join a prestigious financial services company that specialises in stockbroking, pensions, investment management and much more. This is a fantastic opportunity to pursue your career in Compliance, being part of a team that ensures adequate assessment, control, and monitoring of risks within the business.

With over 100 years of heritage and located in the heart of London's financial district this established stockbrokers have a proven track record of success and innovation. With services that include Investment, Wealth Management, Pensions and Alternative Investments they offer customers an unrivalled experience and support. Now, due to ongoing expansion, they are seeking a Compliance Monitoring Assistant / Compliance Officer to join their team.

Supporting the Compliance Monitoring Manager, you will play a key role in assisting with the completion of the Compliance Monitoring programme. On a day-to-day basis expect to write reports and recommendations, follow up on agreed actions, assist with regular monitoring and investigating reports (market abuse surveillance, best execution and transaction reporting), escalate concerns, collate data, maintain records and remain up-to-date with industry rules, internal standards and business goals. In short expect to contribute to an effective Risk and Compliance culture whilst proactively supporting the business as their second line of defence.

To qualify… You should be a Compliance Monitoring Assistant / Compliance Officer / Compliance Assistant or similar with a CV that demonstrates:

  • A genuine interest in pursuing / developing a career in Compliance within Investment Management;
  • Experience from a financial institution, preferably within Investment Management or Stockbroking;
  • Experience within a compliance monitoring role;
  • Existing knowledge of regulatory, risk and/or legal environment for UK financial services firms;
  • A high-level knowledge of office software in particular spreadsheets and word processors;
  • You are investigative with excellent problem solving skills;
  • You are analytical with a methodical approach;
  • A high level of integrity and professionalism;
  • You are well organised, able to work to targets set, and show a flexible attitude to achieve results while working as part of a team;
  • The ability to work on own initiative and with a high degree of independence;
  • You are a self-starter and highly motivated;
  • Strong written and verbal communication skills.

This is a fantastic opportunity for a Compliance Monitoring Assistant / Compliance Officer to develop their career within the financial service industry. In return, expect a competitive salary and an upbeat & highly rewarding environment.

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Contact Us
  • Stafford House
  • 16 East Street
  • Tonbridge
  • TN9 1HG
  • GB
  • 0845 051 0851
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