COMPLIANCE ASSISTANT-Investment Banking

Job Title: COMPLIANCE ASSISTANT-Investment Banking

Reference: AJB JB IB 46

Location: London

Assignment Profile:
Our client is a highly regarded Private client and Investment Banking institution. They are seeking to employ a Compliance Assistant to join the compliance team The main purpose of the role The individual will form part of the Compliance department, reporting to the Senior Compliance Manager, with primary responsibility for the execution of all or part of the Bank’s compliance monitoring programme and dealing with day to day compliance matters. Main Duties/Responsibilities To coordinate and conduct monitoring of the adherence of compliance procedures, through the global monitoring programme. Presenting monitoring results to the Head of Compliance and, where relevant, to Business Managers. Making suggestions to improve procedures where appropriate. To assist with the updating and maintenance of compliance policies and procedures as necessary Day to day duties will include dealing with queries relating to general compliance issues, administering Senior Staff Loans, approving and monitoring PA Dealing in accordance with the Staff Dealing Rules, maintaining the PA Dealing register, signing off Money Laundering due diligence and conducting new starter inductions., conducting conflicts checks, assisting with the administration of the FSA registration database for joiners and leavers, ensuring all approved persons are appropriately registered with the FSA. Other ad hoc duties, as directed by the Senior Compliance Manager

Candidate Profile:
The successful candidate will be a graduate and have between 1 and 2 years compliance experience of working within a compliance department, preferably within an Investment Banking/ Private Banking or M&A environment. You will be committed to developing your career within compliance Other qualities sought; Excellent written skills; Excellent inter-personal skills to communicate clearly and effectively at all levels (both internally and externally); Ability to build effective relationships between individuals, teams, lines of business and geographical/cultural boundaries First class organisational skills, good attention to detail and accuracy are essential; Ability to work well under pressure and meet tight deadlines; Advanced knowledge of Microsoft Word, Excel, Access and PowerPoint; Willingness to work outside of normal business hours

Consultant: Jonathan Banjo

Consultant Email: jbanjo@ajbexecutivesearch.co.uk

Salary: Circa £40-45,000 Plus Benefits

If you feel you are a suitable candidate for this position please contact Jonathan Banjo.