We are exclusively recruiting for an Asset Management business looking to hire a Compliance Assistant working closely with the Head of Compliance. This is a well established business which will give the right candidate a fantastic opportunity to continue to develop in a broad & varied role.
Please Note – Applications will only be considered from candidates with prior compliance experience in a financial services firm.
The position requires an individual with a can-do attitude, comfortable working within a close-knit team environment.
The role requires minimum of 4 days in the office.
Job Requirements:
1. Assisting with the implementation of the Compliance monitoring programme.
2. Reviewing breaches/errors, complaints, PA deal requests, Gift and entertainment requests and updating logs.
3. Reviewing and approving financial promotions and factsheets
4. Conducting initial reviews of client files for account opening and periodic reviews
5. Assisting with the preparation materials for quarterly committee and Board meetings.
6. Developing regulatory knowledge and contacts
7. Working with third parties (e.g. ACDs, administrators and custodians) on compliance and due diligence matters
Unless otherwise stated, candidates must have the right to work in the UK.
The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.
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