I am currently working with a market-leading Equities 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 be part of a friendly and passionate team. The firm and compliance team has very low staff turnover and they actively promote learning and development.

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 carry out screening of clients for sanctions, PEPs and Adverse Media

You will ideally have a strong academic background with some Compliance or AML/KYC experience from a similar firm (Boutique Investment Bank or a Corporate Broker). My client will also consider strong candidates from an Operations or Settlements role in an equities broker with a keen desire to get into compliance. The salary on offer for this opportunity is up to £36k plus excellent benefits including a bonus paid twice yearly. All CVs and enquiries to James Boxall at Austin Andrew. j.boxall@austinandrew.co.uk