Compliance Assistant

  • 45k + competitive bonus
  • London, England, United Kingdom
  • Permanent, Full time
  • Bruin Financial
  • 11 Dec 17 2017-12-11

A boutique Investment Group are currently looking for a Compliance Assistant to aid the Head of Compliance on daily compliance tasks and on going compliance projects.

As the Compliance Assistant your main responsibilities will include:

  • Required to maintain compliance records, including PA dealing records, gifts & inducements registers, approved persons registers, conflicts of interests, training records etc.
  • Required to assist the Compliance Manager in following up on all issues raised as part of compliance monitoring work and that related policies and procedural changes are implemented.
  • Assist with regulatory project work: MiFID II / MiFIR implementation; Senior Managers & Certification Regime; Solvency II; PRIIPS etc.
  • Required to assist the Compliance Manager with information gathering for compliance monitoring reviews and with compliance monitoring tasks.

The succesful candidate should have a basic knowledge of MiFID 2, UCITS and AIFMD and ideally have some experience within a retail environment (i.e. distribution to retail investors as opposed to professional investors).