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Job Specification

Break in to Securities Trading Compliance

£ 20000 - £ 25000
Ref: 3498J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


We are recruiting for our client, a leading brokerage firm, looking to recruit a Junior Compliance Assistant to provide support to the Compliance officer on a daily basis. Duties will include:

  • Conducting daily checks on Compliance Procedures
    • Call Monitoring
    • KYC
    • Transaction Reporting
  • Keeping abreast of regulatory developments that impact on the business
  • Assist in Compliance Monitoring.
  • Onboarding of new customers and performing due diligence

The ideal candidate should be a graduate with a relevant degree


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