Compliance Assistant recruitment
This is an excellent opportunity for a Compliance Assistant with Lloyd’s market experience to work in a position with real growth and development opportunities. You will report into the Compliance Director directly making the team up to two, giving you a great opportunity to take on additional responsibilities as your skills and knowledge grow. Key Purpose of the Role To assist the Compliance Director with the compliance of all aspects of the agency’s business with the FSA rulebook and Lloyd’s regulations arising from the 1982 Lloyd’s Act, which include but are not limited to Rules, Read more […]
Compliance Assistant recruitment
This is a fantastic opportunity for an innovative and proactive individual to begin their compliance career within a City based financial organisation.Key Responsibilities:Skills, Attributes and Credentials:Collating compliance client informationManaging Personal Account DealingManaging FSA approved persons registrationsDaily recording of Research publicationsMaintenance of regulatory compliance related training registerAd hoc compliance reviews – potentially covering all areas of the businessAd hoc duties and support to the Operations and Compliance departments.EssentialProficient with Microsoft Read more […]
Compliance Assistant recruitment
The expectation is that this particular role will develop into the primary Compliance business partner to the Investment Management and Trading teams and will be the key point of contact for the business teams in relation to investment compliance activities.To build relationships between Compliance and the Investment Management and Trading teamsPerform investment compliance monitoring, analysis and reporting utilizing the Bloomberg system and other firmwide IT systemsConduct reviews of investment management agreements to code investment guidelines in the Bloomberg systemEncourage a positive and Read more […]
Compliance Assistant recruitment
Compliance Assistant required by an Asset Manager for their Financial PLanning and SIPP Businesses based in London. Provide assistance to the Group Compliance Officer of the Financial Planning and SIPP Businesses. Liaise closely and advise businesses to create and maintain an environment in which the businesses are able to comply with their obligations undervarious FSA regulatory requirements and the requirements of any other regulatory or Government body. Experience or qualification within the financial planning industry is desirable.
Compliance Assistant recruitment
Top 20 International Law firm is looking for an Compliance Assistant to join their rapidly growing global compliance team. This position is comprised of 2 areas – Client Approval and Intake and Retainers. AML experience is essential.There are two aspects to this position the first is the Client Approval and Intake side. This will involve carrying out initial due diligence on new clients using a variety of different research tools (such as Companies House) and assist the fee earners and PA’s with the client approval process. You will be analysing responses and doing further research to ensure you Read more […]