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Compliance Assistant - Corporate Brokerage

Job Title: Compliance Assistant - Corporate Brokerage
Contract Type: Permanent
Location: East-Central London
Salary: £55,000
Reference: CGV-18550
Contact Email:
Job Published: April 17, 2018 15:51

Job Description

I am currently working with a market-leading boutique Corporate Broker in their search for a Compliance Assistant to join the team. You will be based in luxurious offices in the City of London. You will work in a very meritocratic and open culture and will work alongside a great team of Compliance professionals. The firm offers a settled team and they are known for a very low staff turnover.

You will essentially be taking on a generalist Compliance position with the opportunity to take on a multi-faceted role. You will be expected to carry out firm-wide monitoring reviews including monitoring business and staff activities. You will help maintain all compliance registers and files in accordance with the regulatory requirements. You will deal with various internal and external enquiries in an appropriate manner and maintain your own knowledge of regulatory requirements that are relevant to the firm. You will also be required to provide Compliance advice to staff regularly.

You will ideally have a strong academic background with some Compliance experience from a similar firm (Investment Bank or a Corporate Broker). My client will also consider strong candidates from an Operations or Settlements role with a keen desire to get into compliance. Knowledge of Equities would be highly beneficial. You will have a sound knowledge of UK/EU regulatory landscape. The salary on offer for this opportunity is between £45k-£55k plus excellent benefits. All CVs and enquiries to James Boxall at Austin Andrew.