Central Compliance Assistant (Financial Services) BLUC64249

Central Compliance Assistant (Financial Services) BLUC64249

Manchester

Competitive Salary

Our client is a financial services company offering Private Wealth Management, Wealth Planning and Corporate & Institutional Broking services.

By offering a highly personal, bespoke service they are able to provide timely advice and create long term relationships based on trust. They firmly believe that by placing their client needs at the centre of everything they do, they are well placed to provide timely, bespoke and helpful advice to a diverse range of clients.

They are now looking for a Compliance Assistant to join them in Manchester to Assist with the implementation of the firm’s compliance policies and procedures.

In the role you will ensure that policies are being followed by carrying out comprehensive daily monitoring checks, focussing on communications (telephone calls, messages and e-mails), trading activity for matters such as insider dealing, market manipulation and best execution, staff personal account dealing, gifts and hospitality and transaction reporting. Supporting the Central Compliance Associate and assisting with the maintenance of various registers, you will review and process all Personal Account Dealing approval requests, provide due diligence documentation, review position balances – undertaking any additional administration as required.

The successful candidate will be a self-motivated self-starter with tenacity, perseverance and attention to detail, along with sound knowledge of financial regulations and analytical and interrogative skills. The key requirement for the role is that the you have excellent MS Excel skills, ideally with a background in basic formulae, (including IF statements & Lookups) and the ability to use/design Pivot tables. Equally important is a positive ‘can do’ attitude and organisational skills.

This is a Blue Octopus Recruitment Ltd vacancy who are operating as an employment agency. Once you have clicked to apply for this vacancy, we will then send you more information on the role including a copy of the application form via email.