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Compliance Assistant
| Type |
Permanent |
|
Up to £35,000 per annum + international compliance diploma training |
| Location |
Central London, London [South-East England], London [South-East England] |
| Agency: |
Oliver James Associates |
| Contact |
Bianca Pennington |
| Reference |
GW BP - 11897 |
Job description
A highly successful Financial Services organisation currently seeks a Compliance Assistant to ensure that the organisations operations are conducted in compliance with local regulatory requirements, policies and ethical business practices. The remit of the role will include supporting the Compliance Officer with the following activity: providing regular progress reports on all compliance matters; providing compliance advice to the business whether in project groups or on an ad hoc basis; investigating reported or suspected breaches of policies and procedures; preparation of compliance monitoring reports; preparation of the compliance monitoring programme, performance of compliance monitoring tests and monitoring visits and testing of outsourced functions; reviewing and updating the compliance manual, guidelines, anti-bribery and other policies and procedures as required; distribution of compliance manuals and policies and tracking/chasing submission of acknowledgement forms; tracking and logging all FSA correspondence including notifications of ‘won’ and ‘exclusive’ transactions; preparation of materials for meetings/visits with the FSA; complaints handling, record keeping and regulatory filing coupled with training and knowledge sharing. The ideal candidate will have previous experience working in the compliance department or corporate internal audit department of an FSA regulated Financial Services firm. For an initial discussion call Bianca.
Please note, it is unlawful to employ a person in a UK-based job who does not have permission to live and work in the UK. You should make yourself aware of how immigration laws apply to your situation before applying for any jobs. (Refer: Home Office Website).
This position is being advertised by an employment business in the case of temporary positions and an employment agency in the case of permanent positions.