Compliance Assistant – Investment Management
We are exclusively recruiting for an Investment Management Platform looking for a Compliance Assistant to join their business in a newly created position following the continued growth of the firm. Great opportunity for a candidate at the early stage of their career looking to expand their duties & responsibilities.
- Conducting testing and monitoring in accordance with the Compliance Monitoring Programme (“CMP”) with a particular emphasis on AML, CASS and Transaction Reporting;
- Preparation and maintenance of supporting work records evidencing the CMP testing undertaken;
- Maintenance of breaches register;
- Maintenance of training records for all staff;
- Preparing responses to third party AML due diligence requests;
- Investigating, in conjunction with the Compliance Officer, any customer complaints;
- Completing due diligence assessments on prospective customers prior to on-boarding;
- Responding to day-to-day enquiries from the business; and
- Preparing responses to “disclosure of interests” requests from companies and their advisers.
- At least 2 years Compliance experience, with good testing & monitoring experience as part of that. Ideally coming from an Investment or Wealth management business. Good understanding of current regulatory requirements pertaining to AML; CASS and Transaction reporting experience would be advantageous. Excellent communication skills, both written & verbally.
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