- London, UK
- Full-time employment
- Apply by 11 Nov, 2018
- Start date:
- Visa Sponsor
- £ 32,000.0 per year
Compliance Assistant London CityPermanent to £32K
cer Financial are working with a Brokers based in London who are looking to hire a Compliance Assistant to join their compliance team
To be successful for this role you must have at least 1 years’ experience with a financial services industry and understand CFD trading, as well as being qualified to a degree level
Responsibilities of a Compliance Assistant will be:
Assisting the compliance officer and conducting compliance reviews of financial promotions and marketing material
Managing account opening reviews and approvals of high-risk clients as well as the client on-boarding process to ensure all AML and KYC requirements are met.
Reporting monitoring finding to the relevant departments for investigations as well as providing the compliance officer with a summary of the findings and the specific actions taken by the relevant department
Conducting regular compliance monitoring desk-based reviews
Investigating potential matches of PEP/Sanction screenings.
The Successful Compliance Assistant will have:
Qualified to degree level
Some understanding and knowledge of the UK regulatory environment, in particular AML.
An ability to identify
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