Our client, a Commodities Firm, is seeking a dedicated Compliance Administrative Assistant to support their Compliance team in ensuring adherence to legal and regulatory requirements.
This is an exciting opportunity to join a dynamic team and contribute to maintaining high standards of compliance.
Key Responsibilities
Provide administrative support to the Compliance staff and Head of Compliance.
This is a newly created position for a Compliance Helpdesk Administrator to join our compliance team, reporting directly to the firm's Legal Risk & Compliance Manager on a daily basis.
The successful candidate will be responsible for providing front-line support in relation to processing all daily incoming compliance queries logged through the helpdesk and ensure the firm, and individuals within the firm, practise and promote the highest standards of legal and regulatory compliance, promoting the reputation of the firm and advancing thinking on risk management.
My client is seeking an experienced compliance executive.
As a key member, you'll be at the forefront of regulatory change, assessing and crafting responses to consultation papers, particularly those from the FCA.
Your expertise will contribute to the production of regulatory newsletters, disseminating critical insights across the organisation.
Working with the Compliance Team in delivering the FCA regulatory issues and assimilating and implementing regulatory requirements in a timely manner and within imposed deadlines.
Assisting the Compliance Team in delivering and maintaining the Annual Compliance Plan, updating policy and procedures in line with FCA requirements ensuring regular reviews are conducted.
To manage the upkeep of the Compliance Monitoring Programme, ensuring tasks assigned to the business are completed in a timely manner.
Your varied and stimulating role involves compliance and admin tasks, file opening, ID and AML checks that are compliant with regulations, liaison with fee earners, managing the administration of all inbox tasks and logging of compliance breaches and complaints whilst maintaining detailed logs with evidence.
This law firm, a leader of wealth management services, now has an opening for an accomplished administrator who, when in a busy, detail-oriented role, operates with accuracy and pace!