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Compliance Assistant

Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/HGW/26800
Contact Harry Warwick
Date posted 18-08-2017

BRUIN Financial is currently working with an institutional asset management firm who are currently looking for a Compliance Assistant to join their compliance department. The successful candidate will assist the firm’s compliance team with their monitoring duties.

As Compliance Assistant your responsibilities will include:
• To ensure that breaches and errors as identified are logged on their system
• To carry out checks on timely and best execution in order to ensure that deals are undertaken in accordance with regulatory requirements and internal procedures
• To assist in the collating of management information for Committees as directed by Compliance Management
• To maintain the monitoring outstanding actions log and ensure it remains up-to-date

The successful incumbent requires:
• Knowledge and understanding of regulatory requirements
• Proven entry level compliance experience gained in a similar role
• Experience of using an order management system
• Good communication skills; ability to liaise with employees at all levels of the business

For more information please contact Harry Warwick on 02031453362 or

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Contact Harry about this job

Director, Compliance & Finance