Compliance Junior KYC/AML recruitment
This is an excellent opportunity for the right candidate to gain exposure to a compliance department within a brokerage firm and build upon their knowledge. We are looking for a friendly, outgoing and hardworking Junior to assist the current team with their day to day activities, and eventually take on more responsibilities. Exposure to Derivatives and Cash Equities an advantage
Key respobsibilities include:
Compliance Junior KYC/AML
1. Collating compliance client information
2. Managing Personal Account Dealing
3. Managing FSA approved persons registrations
4. Daily recording of Research publications
5. Maintenance of regulatory compliance related training register
6. Ad hoc compliance reviews – potentially covering all areas of the business
7. Ad hoc duties and support to the Operations and Compliance departments.
Key Relationships:
Compliance Operations team
Back office staff
Management team
Skills, Attributes and Credentials:
Essential
Proficient with Microsoft Office suite
Detail oriented, logical and accurate
Proven track record as effective team member
Flexible approach to tasks and workload
Able to demonstrate a proactive and innovative attitude to tasks
Able to prioritise key task and meet strict deadlines