Complinet | Recruitment | JobComplinet | Recruitment | JobBig Ticket Investment Banking Compliance Assistanthttp://www.complinet.com/recruitmentjobs/job/details/id/1177250000 - 60000 Yearly
| Location: City of London |
Sector: Compliance & RegulationSecurities & Wholesale BankingInvestment Banking/Stockbroking |
Published: March 11th 2010 |
My client is currently recruiting for an individual who will form part of the Compliance department, reporting to the Director of compliance, with primary responsibility for the execution of all or part of the Bank's compliance monitoring programme and dealing with day to day compliance matters.
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<br/>Main Duties/Responsibilities
<br/>To coordinate and conduct monitoring of the adherence of compliance procedures, through the global monitoring programme, overseeing the day to day activities of two people.
<br/> Presenting monitoring results to the Head of Compliance and, where relevant, to Business Managers. Making suggestions to improve procedures where appropriate.
<br/> To assist with the updating and maintenance of compliance procedures as necessary
<br/> Day to day duties will include dealing with queries relating to general compliance issues, administering Senior Staff Loans, approving and monitoring PA Dealing in accordance with the Staff Dealing Rules, maintaining the PA Dealing register, signing off Money Laundering due diligence and conducting new starter inductions. Preparing US PATRIOT Act declarations, conducting conflicts checks, assisting with the administration of the FSA registration database for joiners and leavers, ensuring all approved persons are appropriately registered with the FSA.
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<br/>Experience and Skills required
<br/> Experience of working within a compliance department, preferably within an investment banking/ M&A environment;
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