Compliance Assistant
The purpose of the role is to assist the Compliance Officer in ensuring that the Branch takes reasonable care to establish and maintain effective systems and controls for compliance with applicable requirements and standards under the regulatory system and for countering the risk that the Branch may be used to further financial crime,
Main Duties
The jobholder assists the Compliance Officer in carrying out day-to-day responsibilities summarised as follows
Maintaining a good understanding of the business, including its organisation, client types, products and markets and keeping up-to-date with all regulations applicable thereto;
Assisting with the performance of risk assessment and monitoring routines in all relevant parts of the business to confirm that business is being conducted in accordance with regulatory requirements and standards and to advise management on any corrective action that may be necessary;
Liaising directly with the Regulators and with staff to ensure that individual registrations are up-to-date;
Assisting with Compliance projects and new initiatives undertaken by the team.
Assisting with ongoing monitoring of clients.
Assisting with transaction monitoring of trades
Assisting with other daily checks undertaken by the team.
Candidates should at have at least one years generalist financial services compliance experience
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