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- Tasks: Support the Compliance & Legal Department in a dynamic financial services environment.
- Company: Join a top global broker in the commodities trading sector.
- Benefits: Gain valuable experience and career development opportunities in compliance.
- Other info: Collaborative team culture with opportunities for independent work.
- Why this job: Kickstart your career in compliance with a premier name in the industry.
- Qualifications: 2-4 years in compliance/legal roles preferred; strong attention to detail required.
The predicted salary is between 35000 - 42000 £ per year.
Exciting Compliance opportunity working for this top Global City brokers, ideally suited to a Compliance Assistant with experience of working in-house for a financial services institution. This is a broad and varied role to assist with the smooth running of the Compliance & Legal Department, supporting the Head of Legal & Compliance and wider team. The role offers a 'stepping stone' to get involved with all generalist areas of compliance and develop your career working for a premier name in Commodities trading.
The role includes:
- Issuing letters to customers and business partners (e.g. finalising, printing out and posting).
- Supporting with anti-money laundering and financial crime controls including customer onboarding, CDD/KYC checks, completing customer risk assessments and customer risk data collection.
- Conduct and financial crime risk monitoring, including voice and written communications monitoring and monitoring of incoming and outgoing payments.
- Assisting with trade surveillance e.g. by checking and collecting information relating to alerts.
- Carrying out due diligence on third party outsourced service providers.
- Performing the department’s tasks relating to systems and controls e.g. checking new bank account details and completing account amendment forms and other system amendments.
- Reviewing existing compliance policies and procedures and drafting amendments to new procedures, where required.
- Completing tasks required under the SMCR such as preparing and issuing the necessary documents for staff certification.
- Providing staff training on compliance matters.
- Completing and submitting returns and reports to the FCA and other authorities.
- Maintaining and updating databases.
- Preparing management information and reports to internal stakeholders.
- Ad hoc research on FCA rules and laws and regulations affecting the firm.
- Carrying out various other administrative tasks to assist the smooth operation of the department, such as enabling/terminating access to various trading systems.
Person Specification:
- Previous experience (2-4 years) of working within a compliance/legal department is preferred.
- Background in financial services/Regulatory environment would be advantageous.
- Ability to work on own initiative with a very strong attention to detail and good writing skills.
- Independent working as well as supporting and being part of a collaborative team.
- Highly organised and able to work to deadlines.
Assistant Compliance Officer - Top City Brokers employer: May & Stephens
Contact Detail:
May & Stephens Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Assistant Compliance Officer - Top City Brokers
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the lookout for opportunities. You never know who might have a lead or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its compliance practices. Show that you understand their operations and how you can contribute to their success. We want to see your enthusiasm and knowledge shine through!
✨Tip Number 3
Practice common interview questions related to compliance and legal matters. This will help you articulate your experience and skills effectively. Remember, confidence is key, so rehearse until you feel ready to impress!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take the initiative to engage directly with us.
We think you need these skills to ace Assistant Compliance Officer - Top City Brokers
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experience mentioned in the job description. Highlight any previous compliance or legal roles you've had, especially in financial services, to show us you're a great fit for this position.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're excited about this role and how your background aligns with our needs. Don't forget to mention your attention to detail and ability to work independently, as these are key for us.
Showcase Relevant Experience: In your application, be sure to include specific examples of your experience with compliance tasks, like KYC checks or trade surveillance. This will help us see how you can contribute to our team right from the start.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for this exciting opportunity with a top global broker!
How to prepare for a job interview at May & Stephens
✨Know Your Compliance Basics
Make sure you brush up on the fundamentals of compliance and financial regulations. Familiarise yourself with key terms like CDD, KYC, and SMCR, as well as the latest FCA rules. This will show that you're not just interested in the role but also understand the industry.
✨Showcase Your Attention to Detail
Since this role requires a strong attention to detail, prepare examples from your past experience where your meticulousness made a difference. Whether it was catching an error in a report or ensuring compliance with a new procedure, these stories will highlight your suitability for the position.
✨Demonstrate Team Spirit
This job involves working closely with others, so be ready to discuss how you've collaborated in previous roles. Share specific instances where you supported your team or contributed to a project, emphasising your ability to work independently while still being a team player.
✨Prepare Questions for Them
Interviews are a two-way street! Prepare thoughtful questions about the company's compliance culture, the challenges they face, or how success is measured in this role. This shows your genuine interest and helps you assess if the company is the right fit for you.