Compliance

Compliance Assistant

Profile
An exciting opportunity has arisen as a leading Freight Brokerage Company based in the financial City of London. Currently expanding their Compliance team in seeking a
Compliance Assistant. The company provides Brokerage services both Physical and Futures in a diverse product range. Rapidly expanding globally. The candidate should be familiar with FCA reporting.

Job Purpose
To fully assist the compliance officer / manager with the daily running of the compliance office. Dealing with all queries and issues in a timely manner.

Roles & Responsibilities
• Provide advice and assistance regarding the opening of new accounts and new
applications
• Update the compliance log with any breaches or declined applications
• Provide weekly reporting information on account status’
• Manage all remediation work and provide updates as required
• Prepare management pack providing all information regarding compliance activity for
senior management team
• Monitor all compliance activity on a daily basis
• Provide other assistance as required by officer / manager
• Able to put in place control mechanisms to ensure company is fully compliant at all
times

Qualifications required
• Qualification or working towards any of the following – Business Accountancy /
finance / economics / legal studies
• At least 1 years experience of working in compliance environment

Essential skills
• Analytical skills in order to assess data
• Ability to easily identify issues
• Good understanding of all FCA and securities regulations relating to compliance
• Ability to work to very tight deadlines