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- Tasks: Support the Compliance & Legal Department in a dynamic financial services environment.
- Company: Join a top Global City broker with a strong reputation in Commodities trading.
- Benefits: Gain valuable experience and career development opportunities in compliance.
- Other info: Collaborative team culture with opportunities for independent work and professional growth.
- Why this job: Kickstart your career in compliance with a premier name in the industry.
- Qualifications: 2-4 years in compliance/legal, graduate level education, and strong attention to detail.
The predicted salary is between 40000 - 50000 £ 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.
Assistant Compliance Officer - Top City Brokers in Slough 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 in Slough
✨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 compliance roles. 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 your knowledge of compliance regulations and the specific challenges faced by the firm. Show us that you’re not just another candidate, but someone who’s genuinely interested in making a difference in their compliance team.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation and reiterate your enthusiasm for the role. It keeps you fresh in their minds and shows your professionalism.
✨Tip Number 4
Apply through our website! We’ve got a streamlined process that makes it easy for you to showcase your skills and experience. Plus, it helps us keep track of your application better, so don’t miss out!
We think you need these skills to ace Assistant Compliance Officer - Top City Brokers in Slough
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experience mentioned in the job description. Highlight any relevant compliance or legal experience you've had, especially in financial services. We want to see how you fit into our world!
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 makes you a great fit. Be sure to mention your attention to detail and organisational skills, as these are key for us.
Showcase Your Writing Skills: Since good writing skills are essential for this position, make sure your application is clear, concise, and free of errors. We appreciate well-structured documents that reflect your ability to communicate effectively.
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, we love seeing applications come in through our own platform!
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, KYC checks, and the SMCR. Showing that you understand these concepts will impress the interviewers.
✨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 how your diligence contributed to success.
✨Demonstrate Your Team Spirit
This position involves working closely with a team, so be sure to share experiences where you collaborated effectively. Talk about how you supported colleagues or contributed to group projects, showcasing your ability to work independently while also 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 the team collaborates. This shows your genuine interest in the role and helps you assess if it's the right fit for you.