At a Glance
- Tasks: Support daily trade monitoring and client account administration with full training.
- Company: Join a close-knit, FCA-regulated advisory stockbroker in North London.
- Benefits: Full training, career development, and support for industry qualifications.
- Other info: Friendly team environment with long-term stability and growth opportunities.
- Why this job: Gain hands-on experience in financial services and make a real impact.
- Qualifications: Attention to detail, proactive attitude, and willingness to learn.
The predicted salary is between 31500 - 38500 £ per year.
Location: Muswell Hill, North London (N10) — office based
Collins Sarri Statham Investments (CSS) is an FCA-regulated advisory stockbroker. Our small, close-knit team looks after clients’ investments with care, precision and a genuine sense of responsibility. As a long-serving colleague heads into retirement, we’re looking for someone to train up and grow into a key role at the heart of the business.
About the role
This is a rare opportunity to learn how a regulated stockbroking firm actually runs. Working across both compliance and trade support, you’ll be fully trained in everything from client account administration to the daily monitoring that helps the firm meet its regulatory obligations. It’s a varied, detail-rich role where no two days look quite the same — ideal for someone organised, reliable and keen to build a career in financial services. You’ll be fully trained and supported throughout, with the opportunity to study towards a relevant industry qualification (such as CISI) over time.
What you’ll be doing (with full training)
- Supporting the firm’s daily trade monitoring in line with the Compliance Monitoring Programme
- Reviewing and processing new client account opening requests
- Investigating and clearing overnight client screening flags, referring anything unresolved to the Head of Compliance
- Maintaining key registers and records (financial promotions, trade errors, PA dealing, RCP) accurately and on time
- Logging client complaints and helping ensure response deadlines are met
- Helping review trading and financial transactions, referring findings as needed
- Providing general office and administrative support to keep the team running smoothly
- Using AI tools sensibly to help you work more efficiently and accurately
What we’re looking for
- Excellent attention to detail and a methodical, accurate way of working
- An organised, proactive self-starter who’s reliable and keen to learn
- A confident, approachable manner with colleagues and clients
- Comfort with numbers and everyday IT, including Microsoft and Google software
- Comfortable using AI tools, and keen to use them to work smarter — a real plus
- The ability to handle confidential information with discretion
- Keen to learn about the FCA regulatory regime — prior knowledge is welcome but not required
- Some office experience is preferred but not essential — attitude and aptitude matter most, and full training is given
- A good standard of general education
- A university degree is desirable but not required
We’ll support the right person to study towards a relevant compliance qualification (CISI); existing progress is welcome but not expected. Full training and genuine career development in a regulated financial services firm. Support to gain recognised industry qualifications. A friendly, supportive team where your work really matters. A stable, long-term role — the kind of position people stay in.
Collins Sarri Statham Investments is an equal opportunities employer and welcomes applications from all backgrounds.
Compliance & Trade Support Assistant employer: Collins Sarri Statham Investments Ltd.
Collins Sarri Statham Investments offers a unique opportunity for aspiring professionals in the financial services sector, located in the vibrant area of Muswell Hill, North London. With a strong emphasis on training and career development, employees benefit from a supportive work culture that values attention to detail and proactive learning. The firm not only provides comprehensive training but also encourages staff to pursue relevant industry qualifications, ensuring a rewarding and stable career path in a close-knit team environment.
Contact Details:
Collins Sarri Statham Investments Ltd. Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance & Trade Support Assistant
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Collins Sarri Statham Investments Ltd. looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance & Trade Support Assistant
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Collins Sarri Statham Investments Ltd.. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Collins Sarri Statham Investments Ltd.
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Collins Sarri Statham Investments Ltd.’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
