Compliance Assistant - European Language Speaker

THE COMPANY:

Our client is a reputable financial services house several offices across the UK. They provide a range of services to private clients, fund managers and brokers. They are currently recruiting for a Compliance Assistant to join their expanding team.

THE RESPONSIBILITIES:

• To carry out compliance monitoring on a functional and/or jurisdictional basis, to evaluate findings and to make recommendations for change and agree change with management
• Maintain awareness of regulatory requirements in the jurisdictions, other than the UK, in which the business operates.
• To advise on and assist in the development and implementation of necessary business changes in order to adapt to developing regulatory requirements (including training).
• Assist with fraud, money laundering and other investigations, reporting to the Serious Organised Crime Agency and to the FSA as appropriate and managing the cases
• Assist business operations generally by responding quickly and effectively to compliance and other queries
• To assist with enquiries from and relationships with regulators, such as the FSA, LSE, Takeover Panel, AMF and CNMV
• Investigate complaints from customers and to report findings to them and manage any cases referred to the Ombudsman or other external third parties.
• Provide a smooth flow of relevant ad hoc and formal information to the Group Head of Compliance, for example, in support of the GHC’s role, as approved person for anti-money laundering and compliance oversight, and, as a conduit of information to the Audit committee and to Group Directors.
• To contribute in any other specific or general way to the work of the UK and global compliance team

EXPERIENCE REQUIRED:

• Must have relevant compliance Monitoring experience gained from Investment Bank, broker, Stockbroker
• Must be fluent in a European language, ideally German, Spanish, Portuguese, Swedish
• Ideally must have securities exposure

For further information, please contact Hannah Tabatabai

COMPL 3605

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