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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 iconPosted on 13 Oct, 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 interests, FCA registrations and reporting, staff training, company secretarial tasks, audit requests, ad-hoc queries, etc.
Profile
The successful financial services Compliance Associate will be:
* Degree level education or of graduate calibre
* Excellent organisational, oral and written communication skills
* A positive and responsive service-oriented attitude, with the ability to take initiative, prioritise workload and meet deadlines in a timely manner
* Self-starter with a strong sense of ownership and a personal commitment to continuous improvement of policies and procedures
* Confident, with an outgoing personality, and an ability to effectively interact with staff at all levels and maintain confidentiality
* Competent user of Microsoft Office products, including Excel, Word and PowerPoint
* Fluent in English; other European languages may be beneficial
Job Offer
Competitive package on offer
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