Compliance Assistant

Competitive
Permanent
London
07 Jun 2019
BBBH726046

Our Client, a Leading Brokerage, is currently looking for a Compliance Assistant to join their team.

Compliance Assistant

Our Client, a Leading Brokerage, is currently looking for a Compliance Assistant to join their team.

Duties:

  • Conduct client on-boarding for new clients and conduct appropriate regular reviews for existing clients. This will involve:
  • On-going screening of clients for sanctions, PEPs and Adverse Media
  • 'GAP analysis' of records to ensure that the documentation is complete and escalation of any issues identified during the KYC process
  • Undertake monitoring of business and staff activities in accordance with the Compliance Monitoring Programme
  • Ad-hoc monitoring and tasks upon request of the Head of Compliance.
  • Help to maintain all relevant Compliance registers and files including PA Dealing, Gifts and Entertainment and new joiner forms.
  • Ensure all incidents / breaches are escalated to the Head of Compliance.

Experience:

  • Ideally will have previous experience within Compliance at a brokerage.

For further information please do not hesitate to contact Leo Bellometti on: lbellometti@morganmckinley.co.uk

Morgan McKinley is acting as an Employment Agency in relation to this vacancy.

Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.

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Leo Bellometti's picture
Senior Consultant | Compliance Recruitment
London +44 207 092 0044 | lbellometti@morganmckinley.co.uk