Compliance Assistant (Contract)

We have an excellent opportunity for the right candidate to join a friendly and professional team, initially on a maternity cover but with the potential to go permanent. 

The successful candidate will be responsible for assisting with the implementation of the firm’s compliance policies and procedures, undertaking specified checks and controls aimed at assisting the firm in maintaining compliance with rules, regulations and legislation.

Reporting to the Compliance Manager – Operations

Key Responsibilities:

Under the direction of the Compliance Manager, the Compliance Assistant must undertake the following:

Undertake comprehensive daily monitoring checks of specified system reports to ensure that controls are being followed.

For example monitoring:

- Telephone calls

- Trading activity for matters such as identify front running, market abuse and best execution

- Staff dealing

- Gifts and entertainment

You would also be required to; 

Assist in maintaining the Compliance Policies and Procedures on the intranet

Assist in the recording of rule breaches.

Monitor and report the firms disclosure positions and report findings 

Escalate findings from monitoring and compliance reviews and investigations in a timely and appropriate manner.

Undertake other general administration and ad-hoc work/ projects as required.

The ideal candidate will have a basic understanding of financial services but more important is a willingness to learn about the industry, products, services and regulations. Specific training on systems and the regulatory environment will be provided.

The job holder should have the skills to use Microsoft Office products such as Word, Excel  and PowerPoint competently, be numerate and able to communicate clearly in writing. Whilst email is used extensively internally it will be expected for these to be written clearly and in formal language.