Compliance Assistant | UK & Ireland Jobs | Jobs from Compliance Recruitment Solutions


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Job Specification

 
 

Our Client, a Financial Spread betting firm, is looking to recruit a Compliance Assistant to provide support to the current Compliance Manager/MLRO daily with all aspects of compliance monitoring in relation to financial crime. Duties will include:

·         Day to day compliance monitoring including undertaking call reviews, PA dealing reviews and post trade surveillance

·         Identifying and reporting market abuse suspicions to the FCA

·         Preparing information for investigations from external bodies

·         Conducting reviews of client accounts and where necessary following up with clients and/or escalating to the Compliance Manager

The ideal candidate should have previous working knowledge of AML and relevant parts of the FCA Handbook regarding market abuse, gained in an FCA regulated firm.

 

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 darren@compliancerecruitment.com

 

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge

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