Overview

We are exclusively recruiting for an Investment Management Platform looking for a Compliance Assistant to join their business in a newly created position following the continued growth of the firm. Great opportunity for a candidate at the early stage of their career looking to expand their duties & responsibilities.

Main Responsibilities:

  • Conducting testing and monitoring in accordance with the Compliance Monitoring Programme (“CMP”) with a particular emphasis on AML, CASS and Transaction Reporting;
  • Preparation and maintenance of supporting work records evidencing the CMP testing undertaken;
  • Maintenance of breaches register;
  • Maintenance of training records for all staff;
  • Preparing responses to third party AML due diligence requests;
  • Investigating, in conjunction with the Compliance Officer, any customer complaints;
  • Completing due diligence assessments on prospective customers prior to on-boarding;
  • Responding to day-to-day enquiries from the business; and
  • Preparing responses to “disclosure of interests” requests from companies and their advisers.

Job Requirements:

  • At least 2 years Compliance experience, with good testing & monitoring experience as part of that.
  • Ideally coming from an Investment or Wealth management business.
  • Good understanding of current regulatory requirements pertaining to AML;
  • CASS and Transaction reporting experience would be advantageous.
  • Excellent communication skills, both written & verbally.

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