• 30 July 2010
• Reference: JR231076

• Group Compliance Assistant - West End

• City of London GBP35,000 - GBP36,000 p/a Permanent

This is a wonderful Group generalist role within a leading independent integrated securities firm


Compliance Assistant


Brief Description:
Assist in the compliance monitoring and regulatory controls.

Duties and Responsibilities:
Tasks will include but not be limited to:
Assist and review financial promotions on a Group basis
Maintain the financial promotion logs
Authorise the collaboration of new additions to the web site
Carry out compliance reviews on a Group basis in accordance with the compliance monitoring programme
Ensure new starters are FSA approved and carry out compliance inductions
Update the restricted/grey list on a Group basis
Update and maintain the PA dealing/ gifts/breaches/complaints log on a Group basis
Assist with the submission of FSA applications
Assist with on-line regulatory returns
Collate and update divisional AUM on a Group basis
Maintain and update the compliance Intranet page
Assist with annual training of FSA approved persons
Assist in the updating of Compliance Manuals and Procedures
Review applicable FSA publications including, consultation papers, feedback statements and policy documents
Provide regulatory advice to the group when required
Be aware of the Anti Money Laundering requirements and provide assistance on issues on a Group basis

Candidates will require current relevant experience

Joslin Rowe - Winner of 4 UK Recruiter Awards including Best Accountancy/Financial Recruitment Firm and Best Office Support Agency.
Joslin Rowe is a Randstad company. Joslin Rowe Associates Ltd encourages applications from individuals from all backgrounds but candidates must be able to demonstrate their ability to work in the UK. Joslin Rowe Associates Ltd is acting as an Employment Agency in relation to this vacancy.

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Keywords related to this job

• Compliance,
• Compliance Officers / Analysis,
• City of London,
• Permanent,
• Banking,
• compliance