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Compliance Assistant

Graduate at cer Financial

Compliance Assistant

Graduate at cer Financial

  • LocationLondon, UK
  • Position levelGraduate
  • Job period iconFull-time employment
  • Application deadline iconPosted on 12 Sep, 2018
  • Start date iconStart date:
  • Visa iconVisa Sponsor
  • Competitive£ 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 and investigate suspicious activity
At least 1 years’ experience within the financial services industry
Excellent knowledge of AML regulations and the requirements for conducting appropriate CDD and EDD reviews.
An ability and keen interest to understand FCA regulations
Strong IT literate (Experience with Microsoft Office).

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