Compliance Assistant Officer

Location
London (Central)
Salary
£26,000 - £32,000
Posted
02 Jul 2018
Closes
01 Aug 2018
Ref
PG
Job Sector
Compliance, Regulation
Experience Level
Entry Level, Executive, Graduate, Officer
Contract Type
Full time, Permanent

Assistant Compliance Officer to assist the Compliance team in ensuring the business maintains an effective corporate governance, monitoring and supervision framework through effective internal compliance systems and controls and that it is adhering to all existing and future legislative and regulatory obligations.

The firm is a market leading, professional service firm based in Central London.  A consultancy providing tax and business advisory services. 

Main responsibilities

Anti Money Laundering/Know Your Client

  • New client on-boarding process including KYC checks
  • Existing client ongoing monitoring procedures and controls
  • Administrative tasks including record-keeping, document management

Data Protection

  • Administrative tasks including record-keeping and procedures updates

Client Money

  • Assisting Accounts Team with client due diligence queries
  • Administrative tasks including record-keeping, procedures updates and meeting notes​

Complaints

  • Claims handling including monitoring deadlines and disclosure requirements
  • Administrative tasks including record-keeping, internal reporting and procedures updates

Engagement Documents

  • Monitoring and ensuring return of client Engagement Letters and Terms of Business

 

The successful candidate will be given training and support to improve their skills and experience in the all areas including:

FCA/ICAEW Compliance and Data Protection/Privacy

General attributes required for this role

  • Maintaining strict adherence to both client and staff confidentiality
  • Adhering to company’s risk management policies
  • Willingly carrying out any other duties required to meet with the needs of the business
  • Ensuring the company's client service standards are met
  • Flexibility regarding core working hours
  • Excellent standard of English, both written and spoken

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