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Job Specification

Securities Trading Compliance – AML/KYC or Compliance Experience Required

£ 35000 - £ 40000 | City of London
Ref: 3497J

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


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

  • Conducting daily checks on Compliance Procedures
    • Call Monitoring
    • KYC
    • Transaction Reporting
  • Provide advice to the business in relation to Compliance related matters
  • Keeping abreast of regulatory developments that impact on the business
  • Assist in formulating policy and ensuring its implementation
  • Collate MI and report to the Firm’s committees

The ideal candidate should have at least three years AML/KYC or Compliance experience from within Financial Services.  Great opportunity to develop a full compliance career even if only had AML or KYC experience so far, with full cross training provided.

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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