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- Tasks: Support the Compliance & Legal Department in a dynamic role with varied responsibilities.
- Company: Join a top Global City broker in the exciting world of Commodities trading.
- Benefits: Gain valuable experience and career development opportunities in a prestigious environment.
- Other info: Collaborative team culture with a focus on professional growth and attention to detail.
- Why this job: Kickstart your compliance career with hands-on experience in a leading financial institution.
- Qualifications: Graduate level education and 2-4 years in a compliance/legal department preferred.
The predicted salary is between 30000 - 40000 £ 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 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.
Graduate Compliance Administrator in City of London employer: May & Stephens
Contact Detail:
May & Stephens Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Graduate Compliance Administrator 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 hunt for a Compliance 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
Get your LinkedIn game on point! Make sure your profile is up-to-date and showcases your skills relevant to compliance. Join groups related to compliance and engage with posts to increase your visibility in the industry.
✨Tip Number 3
Prepare for interviews by brushing up on compliance regulations and current trends in the financial services sector. Be ready to discuss how your previous experience aligns with the responsibilities of the Graduate Compliance Administrator role.
✨Tip Number 4
Don't forget to apply through our website! We’ve got loads of opportunities that could be perfect for you. Plus, applying directly shows your enthusiasm and commitment to joining our team.
We think you need these skills to ace Graduate Compliance Administrator in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experiences that match the Graduate Compliance Administrator role. Highlight any relevant compliance or legal experience, especially in financial services, to show us you’re a great fit!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're excited about this opportunity and how your background aligns with our needs. Don’t forget to mention your attention to detail and organisational skills!
Showcase Your Writing Skills: Since good writing skills are key for this role, make sure your application is clear, concise, and free of errors. We want to see that you can communicate effectively, so take your time to polish your application.
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 from our team!
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. Familiarise yourself with terms like CDD, KYC, and SMCR, as these will likely come up during the interview.
✨Showcase Your Attention to Detail
Prepare examples from your past experience that highlight your attention to detail. Whether it’s catching errors in documents or ensuring compliance with procedures, be ready to discuss how you’ve maintained high standards in your work.
✨Demonstrate Team Spirit
This role requires collaboration, so think of instances where you’ve successfully worked within a team. Be prepared to share how you’ve supported colleagues and contributed to a positive team environment.
✨Ask Insightful Questions
Prepare thoughtful questions about the company’s compliance practices and challenges they face. This shows your genuine interest in the role and helps you understand how you can contribute effectively.