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Compliance Associate

Graduate at Michael Page International

Compliance Associate

Graduate at Michael Page International

  • LocationLondon, UK
  • Position levelGraduate
  • Job period iconFull-time employment
  • Application deadline iconApply by 12 Dec, 2018
  • Start date iconStart date:
  • Visa iconVisa Sponsor
  • CompetitiveCompetitive
The successful financial services compliance associate will work closely with the Legal and Compliance team, but will also interact extensively with the business at all levels across the EMEA region. The Compliance Associate will be responsible for proactively tracking the regulatory aspects of active deals, overseeing the client onboarding process, ensuring compliance with the Market Abuse Regulation and MiFID II.
Client Details
An Investment Bank
Description
The successful financial services Compliance Associate will carry out the following responsibilities:
* Compliance monitoring programme
* Proactively managing, assisting and advising the deal teams with the KYC process.
* Performing risk assessments, client categorisation, PEP approvals, LexisNexis checks, etc.
* Assisting with the automation of the KYC process, using SalesForce CRM
* Transaction tracking and administration
* Maintaining and updating the deal database using the SalesForce CRM system
* Tracking active deals and ensuring compliance with the regulatory framework
* Organising and participating in deal status conference calls with the business lines
* Managing insider lists, restricted list, access rights, etc.
* Compliance monitoring programme
* Ad-hoc tasks / projects
* PA dealing, outside business i

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