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Compliance Assistant

Employer
Incisive Recruitment
Location
UK
Salary
Competitive
Closing date
7 Jul 2022

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Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
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Compliance Assistant

One of our financial clients, based in London are currently urgently looking for a Compliance Assistant to start ASAP.

You will have gained at least 2-4+ years experience and be well educated and have ideally worked within the financial services industry.

Main duties will include:-
Technical FCA regulatory knowledge for the wealth management sector and the rules which apply to the business
Detailed understanding of UK MiFiD, AIFMD, SMCR, and other relevant European and/or US Regulation
Draft new policies in response to regulatory change
Maintenance and development of the Group's Compliance policies and procedures
Maintenance and execution of the Compliance Monitoring Programme
Review and sign-off of financial promotions
Working knowledge of AML and KYC
Assess the business's future ventures to identify possible compliance risks
Prepare reports for senior management and external regulatory bodies as appropriate

Any experience in the following is highly desirable:
Listing Rules
CASS
Capital Markets
Wealth Planning/IFA
Research
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