Complinet | Recruitment

Complinet | Recruitment | JobComplinet | Recruitment | JobCompliance Assistant - European Language Speakerhttp://www.complinet.com/recruitmentjobs/job/details/id/977140000 - 45000 Annually + benefits | Location: City of London | Sector: Compliance & RegulationSecurities & Wholesale BankingInvestment Banking/StockbrokingCommodities/Futures | Published: November 16th 2009 | 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: <ul> <li>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</li> <li>Maintain awareness of regulatory requirements in the jurisdictions, other than the UK, in which the business operates. </li> <li>To advise on and assist in the development and implementation of necessary business changes in order to adapt to developing regulatory requirements (including training). </li> <li>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</li> <li>Assist business operations generally by responding quickly and effectively to compliance and other queries</li> <li>To assist with enquiries from and relationships with regulators, such as the FSA, LSE, Takeover Panel, AMF and CNMV</li> <li>Investigate complaints from customers and to report findings to them and manage any cases referred to the Ombudsman or other external third parties. </li> <li>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. </li> <li>To contribute in any other specific or general way to the work of the UK and global compliance team</li> </ul> EXPERIENCE REQUIRED: <ul> <li>Must have relevant compliance Monitoring experience gained from Investment Bank, broker, Stockbroker </li> <li>Must be fluent in a European language, ideally German, Spanish, Portuguese, Swedish </li> <li>Ideally must have securities exposure</li> </ul> For further information, please contact Hannah Tabatabai COMPL 3605