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Job Specification

Compliance Assistant – KYC (Securities Trading) Experience Required

£ 30000 - £ 35000
Ref: 3506B

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

You should have previous KYC experience from a similar sell side organisation. (i.e. securities trading/stockbroking firm). Good opportunity to use your KYC experience to break into proper Compliance.  

For further information or a confidential no obligation discussion, please send your details to britta@compliancerecruitment.com

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