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Compliance Assistant

Page Personnel Finance
Closing date
23 May 2022

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Contract Type
Full Time
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This is a new opportunity for a Compliance Assistant work for a Financial Services business in South West London. The Compliance Officer will be responsible for all Compliance and Financial Crime duties. The successful candidate will be required to travel into the office 3 days per week.

Client Details

The client is a Financial Services business, specifically an Investment Management firm located in South West London. They have an opening for a Compliance Assistant to join their team as soon as possible.


Compliance Assistant

Roles and duties:
  • Keeping abreast of regulatory developments to consider the impact on the business.
  • Working closely with Compliance team members to coordinate team activities and workstreams (including Compliance policies/procedures updates)
  • Assist with the execution of the Compliance Monitoring Programme (including monitoring of PA Dealing & private investments, Gifts & Entertainment, Emails, Calls, and Outside Interests.)
  • Responsible for maintenance of logs/registers (including FCA interactions, Breaches, Complaints, High Risk Register etc)
  • Assisting with the maintenance of the Central Compliance System (currently Star Compliance), including the coordination of compliance uploads and inputs to the system.
  • Completing data collection for regulatory returns and information requests and assisting with the associated submissions.
  • Act as the first line response to assist in answering day to day Compliance, regulatory and financial crime related queries.
  • Investigate initial on-boarding results from Compliance AML electronic verification systems (currently Smartsearch & Dow Jones) and monitor alerts that result from ongoing screening (PEPs/Sanctions/High Risk Flags etc).
  • Assist with on-going CDD monitoring of existing relationships
  • Reviewing and issuing eLearning training modules utilising the online training portal (currently Skillcast).
  • Analysis of compliance training data, feedback and creation of MI reports.
  • Interacting with the wider business to ensure staff complete Compliance related requests.
  • Working in conjunction with the HR team to manage joiners, leavers and transfers (JLT) and related processes from a Compliance perspective including coordinating the Certified Persons/Senior Managers filings under SMCR.

  • Will come from the Financial Services industry (Investment Management, Private Banking etc.)
  • Will be able to travel to South East London and happy to go into the office 3 days per week
  • Will have a minimum of 18 months exp. working in a similar role

Job Offer

The successful candidate will be paid £35,000 - £40,000 per annum.
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