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Assistant Compliance Officer

CLARC Recruitment
Closing date
20 Oct 2021

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Salary Band
Annual, £50,000 - £59,999
Contract Type
Full Time
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A well-established Wealth Management firm based in London are looking for an Assistant Compliance Officer to join their Compliance team in a broad Compliance & Financial Crime focused role. The role is a 12 month maternity cover contract.

Main Responsibilities:
  • Provide general regulatory guidance and advisory services to certain internal business areas.
  • Support projects ensuring compliance with regulatory and legislative requirements.
  • Review and approve new client on boarding KYC in line with Group standards.
  • Review and approve financial promotions.
  • Respond to ad-hoc queries and new business initiatives to enable line manager(s) to meet their regulatory requirements.
  • Assist with the development and implementation of Compliance and AML procedures.
  • Develop and maintain ongoing management information for the Board.

Job Requirements:
  • At least 2 years Compliance experience working within a similar Wealth Management or Private Banking business.
  • Knowledge of relevant FCA rules, particularly COBS, required.
  • Strong Financial Crime knowledge, including JMLSG guidance is essential.
  • Excellent interpersonal skills.
  • Good communicator, comfortable dealing with all levels of staff.

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