COMPLIANCE MONITORING ASSISTANT

Job Title: COMPLIANCE MONITORING ASSISTANT

Reference: AJB JB IB 48

Location: London

Assignment Profile:
Our client, provides banking, investment management, pensions and advisory services for private, institutional and corporate clients. An opportunity has arisen for a Compliance professional with a few year’s Wealth Management (or similar experience) to assist in the delivery of the Company’s compliance monitoring programmes with the aim of ensuring that high standards of monitoring are delivered throughout the Company. Main Purpose of the Role To support the Compliance Manager with the delivery of the BSCO compliance monitoring programmes, with the aim of ensuring that high standards of monitoring are delivered throughout the Company. Duties and responsibilities will include the following; To undertake desk-based AML and dealing monitoring tests and progress resultant exceptions/queries with staff. To undertake Notifiable Interests and Takeover reporting and to liaise with external agencies as appropriate To assist with the general delivery of the Compliance Monitoring Programme. To undertake client file reviews for compliance with the FSA Rules, in particular those relating to the conduct of business and also relevant BSCO internal requirements/procedures. The preparation of monitoring reports documenting the results and resolution of findings. Other duties as directed by the Compliance Manager

Candidate Profile:
The successful candidate will be a graduate and have additional industry qualifications and good financial services experience, with a few years of compliance experience within Asset/Wealth Management or Private Banking Knowledge of UK regulatory framework / investment management industry Good working knowledge of FSA regulatory framework Knowledge of investment management and pension compliance issue Excellent interpersonal and communication skills, with the ability and confidence to talk to employees at all levels within the company. Tact and diplomacy skills key Committed to a career in Compliance. MS XLS (advanced level with good knowledge of pivot tables, V-lookups, macros) MS Outlook MS Word

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.