Compliance Assistant (legal background) - Policy Focus - Leeds

  • GBP25000.00 - GBP40000 per annum + benefits and bonus
  • Leeds, England, United Kingdom
  • Permanent, Full time
  • Charles Levick
  • 15 Oct 17 2017-10-15

My client, a specialist global investment management group, are looking to recruit a Compliance & Risk Assistant within their West Yorkshire office. Supporting the design and maintenance of the policy framework for the firm including drafting new policies and ensuring policies are regularly reviewed. A legal background would be very advantageous.

My client, a specialist global investment management group, are looking to recruit a Compliance & Risk Assistant within their West Yorkshire office. Supporting the design and maintenance of the policy framework for the firm including drafting new policies and ensuring policies are regularly reviewed. A legal background would be very advantageous.

Team Focus:

* Advising on regulatory, operational, conduct and legal risks in order to facilitate the identification of key risks and controls required.
* Providing support to business initiatives and projects to mitigate risks occurring.
* Informing and educating the business on risk.
* Using a risk based approach to monitor the effectiveness of controls in place across the business.
* Reporting to Senior Management and the Board on the effectiveness of the risk framework.

Responsibilities:

* Assisting with the mitigation of legal risk across the business through the co-ordination of legal queries, review of contracts and liaison with multiple business stakeholder on queries.
* Supporting the design and maintenance of the policy framework including drafting new policies and ensuring policies are regularly reviewed.
* Working with other key stakeholders to ensure that governance documentation is maintained in line with regulatory expectations.
* Assisting with the provision of management information and reports relating to legal roles and responsibilities.
* Promoting a culture of compliance with internal policies and procedures and legal requirements across the firm through assisting with the provision of training and other activities.

Required Skills & Experience:

* A good understanding of English Law with particular focus on Contract Law, Financial Services Regulation.
* Experience in a para legal or similar role is desirable.
* A law degree or similar qualification is preferable.

Candidate Profile:

* Excellent communication skills, both verbal and written.
* Good organisational skills.
* Good technical, analytical and problem-solving skills.
* A desire to understand and work within Financial Services and FCA Regulation.


The Compliance Practice at Charles Levick support Permanent, Contract and Interim recruitment specialising in requisitions ranging from entry level Compliance Assistants through to Senior Level Appointments. Our focus spans Financial Services to include both Buy and Sell side Capital Market organisations, Private and Wealth Management, Insurance, Life and Pensions, Consultancy and Third Party Market providers