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Job Specification

Compliance Assistant - Sell side Compliance experience required

£ 35000 - £ 40000 | City of London
Ref: 3505J

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


Our Client, a leading securities trading firm, is looking to recruit a Compliance Assistant to provide support to the current Compliance officer on a daily basis. Duties will include:

  • On-Boarding clients (retail, institutional and professional)
  • Ensure all AML/CTF checks are completed in accordance with both internal and external regulations, using various AML tools
  • Keeping abreast of regulatory developments that impact on the business
  • Assist in Compliance Monitoring
  • Ensure breaches are identified, escalated and mitigating activities are agreed
  • Assist in reviewing. drafting and updating relevant Compliance policies and procedures
  • Carrying out Compliance Projects

The ideal candidate will have general compliance experience from a similar sell side organisation.

For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at

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