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- Tasks: Support compliance operations and assist with legal documentation in a dynamic financial 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 leading name in the industry.
- Qualifications: 2-4 years in compliance/legal, graduate level education, strong attention to detail.
The predicted salary is between 35000 - 42000 £ per year.
Exciting Compliance Assistant 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 etc.
Person Specification:
- Previous experience (2-4 years) of working within a compliance/legal department is preferred.
- Graduate level education.
- 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.
- Excellent MS Office skills.
Compliance Assistant - Top City Brokers in City of London employer: May & Stephens
Contact Detail:
May & Stephens Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Assistant - Top City Brokers in City of London
✨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 a Compliance Assistant role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on compliance regulations and the latest trends in financial crime prevention. Show that you’re not just a candidate, but someone who’s genuinely interested in the field and ready to contribute from day one.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation for the opportunity. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Assistant gig! We love seeing applications directly from motivated candidates like you, and it helps us keep track of your journey with us.
We think you need these skills to ace Compliance Assistant - Top City Brokers in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Assistant role. Highlight your experience in compliance and legal departments, especially any relevant tasks like customer onboarding or risk assessments. We want to see how your background fits with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're excited about this opportunity at Top City Brokers. Mention specific skills that align with the job description, like your attention to detail and ability to work independently. Let us know why you’re the perfect fit!
Showcase Your Writing Skills: Since good writing skills are essential for this role, make sure your application is clear and well-structured. Avoid jargon and keep it professional yet approachable. We appreciate a good communicator, so let your personality come through while keeping it relevant!
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 don’t miss out on any important updates. Plus, it shows us you’re keen and tech-savvy—qualities we value!
How to prepare for a job interview at May & Stephens
✨Know Your Compliance Basics
Brush up on your knowledge of compliance regulations, especially those relevant to financial services. Be prepared to discuss anti-money laundering practices and KYC checks, as these are key aspects of the role.
✨Showcase Your Attention to Detail
Since this role requires a strong attention to detail, come ready with 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, highlight these moments.
✨Demonstrate Team Spirit
This position involves working closely with a team, so be sure to share experiences that showcase your ability to collaborate effectively. Talk about how you’ve supported colleagues in the past and contributed to a positive team environment.
✨Prepare Questions for Them
Interviews are a two-way street! Prepare thoughtful questions about the company’s compliance culture, the challenges they face, and how you can contribute. This shows your genuine interest in the role and helps you assess if it's the right fit for you.