Compliance Assistant (ETC Brokers)

Overview

Our client is a Futures and Options Traders and Brokers part of large global corporation. They are looking for a graduate Compliance analyst who is used to working in a small firm who will have had exposure to a range of compliance functions. It is a very hands on, high quality small team.

This is a broad and varied role to assist with the smooth running of the Compliance & Legal Department, supporting the Head of Legal & Compliance and other staff in the department. The role would suit a candidate keen to be a generalist compliance professional with exposure to all areas of compliance relevant to the firm. Key duties are expected to include:

Responsibilities

• Issuing letters to customers and business partners (e.g. finalising, printing out and posting).
• Work relating to anti-money laundering and financial crime controls including customer onboarding, CDD/KYC checks, completing customer risk assessments and customer risk...