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Compliance Assistant

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Salary Competitive
Type Permanent
Location City of London
Sector Compliance
Job Reference T3A/JOES/26833
Contact Joe Smith
Date posted 23-08-2017

BRUIN Financial is currently working with a prestigious wealth management firm that is looking for a Compliance Assistant to join their Compliance, Legal and Risk team. The successful candidate will assist the Head of Compliance, Legal and Risk and team members in overseeing the compliance function at the firm.

As a Compliance Assistant your responsibilities will include:
• Collate data from various sources and prepare internal reports on a regular basis
• Maintain various registers, lists and logs as required under FCA regulation
• Assist with regulatory reporting obligations
• Track regulatory updates and report relevant updates to the team

The successful incumbent requires:
• Good understanding of the wealth management business, in particular wealth planning, gained through at least 12 months’ experience in a similar role
• Working knowledge of the FCA Handbook and regulations
• Has achieved, or is working towards a compliance specific qualification
• Educated to degree level

For more information please contact Joe Smith on 02031453376 or joe.smith@bruinfinancial.com

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Associate, Consultant