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- Tasks: Support the Compliance & Legal Department with various compliance functions and administrative tasks.
- Company: Join a dynamic Futures and Options trading firm within a global corporation.
- Benefits: Gain hands-on experience in compliance with a supportive team environment.
- Why this job: Perfect for those passionate about compliance and eager to learn in a fast-paced setting.
- Qualifications: Ideal for graduates with 2-4 years in compliance/legal roles, keen attention to detail required.
- Other info: Opportunity to grow your career in a small, high-quality team.
The predicted salary is between 28800 - 48000 £ per year.
Our client is a Futures and Options Traders and Brokers part of a large global corporation. They are looking for a graduate Compliance analyst who is used to working in a small firm and has had exposure to a range of compliance functions. It is a very hands-on, high-quality small team. 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 other staff in the department. The role would suit a candidate keen to be a generalist compliance professional with exposure to all areas of compliance relevant to the firm.
Key duties are expected to include:
- Issuing letters to customers and business partners (e.g. finalising, printing out and posting).
- Work relating to 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.
Previous experience (ca. 2-4 years) of working within a compliance/legal department is preferred. Financial services (Regulated environment) experience would be advantageous. Passion for compliance and regulatory work and eager to learn from others and independently. Ability to demonstrate entrepreneurialism, initiative and common sense, with a very strong attention to detail and good writing skills.
Compliance Assistant (ETC Brokers) in London employer: Taylor James Resourcing
Contact Detail:
Taylor James Resourcing Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Assistant (ETC Brokers) in London
✨Tip Number 1
Network like a pro! Reach out to people in the compliance field, especially those who work at firms similar to ETC Brokers. Attend industry events or webinars to make connections and learn more about the role.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance regulations and practices. Be ready to discuss how your previous experiences align with the responsibilities listed in the job description.
✨Tip Number 3
Show your passion for compliance! During interviews, share examples of how you've tackled compliance challenges in the past and express your eagerness to learn and grow in this field.
✨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 are proactive about their job search.
We think you need these skills to ace Compliance Assistant (ETC Brokers) in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Assistant role. Highlight any relevant experience in compliance functions, especially if you've worked in a small firm before. We want to see how your background aligns with the hands-on nature of our team!
Showcase Your Skills: In your cover letter, emphasise your attention to detail and writing skills. Mention specific examples where you've demonstrated these abilities, particularly in compliance or regulatory contexts. We love seeing candidates who can communicate effectively!
Research the Company: Take some time to research our client and their operations in the futures and options trading space. Understanding their business will help you tailor your application and show us that you're genuinely interested in the role and the industry.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Taylor James Resourcing
✨Know Your Compliance Basics
Make sure you brush up on the fundamentals of compliance, especially in the financial services sector. Understand key concepts like KYC, AML, and the SMCR. This will show that you're not just passionate about compliance but also knowledgeable about the specific regulations that affect the firm.
✨Showcase Your Hands-On Experience
Since this role is very hands-on, be ready to discuss your previous experiences in a compliance or legal department. Highlight specific tasks you've undertaken, such as conducting risk assessments or drafting compliance policies. Real-life examples will make your application stand out.
✨Demonstrate Attention to Detail
In compliance, attention to detail is crucial. During the interview, provide examples of how you've ensured accuracy in your work, whether it’s through meticulous data entry or thorough document reviews. This will reassure them that you can handle the precision required in this role.
✨Ask Insightful Questions
Prepare some thoughtful questions about the company’s compliance processes or the team dynamics. This shows your genuine interest in the role and helps you gauge if the company culture aligns with your values. Plus, it gives you a chance to demonstrate your enthusiasm for learning and growing in the compliance field.