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Compliance Assistant

Salary Competitive
Type Permanent
Location Milton Keynes
Sectors Compliance
UK & Regional
Job Reference UK2C/JXL/32813
Contact Josh Littlemore
Date posted 10-10-2019

BRUIN Financial are working with a growing Asset Management organisation who are looking for a Compliance Assistant to join their team based in Daventry.

In this role you will be supporting the firm’s Compliance Manager and develop skills and knowledge in compliance and risk management.

The core responsibilities of this role are:

• Maintain compliance registers including, gifts and hospitality, conflicts of interests, data protection breaches, complaints,stop list and outside business interests
• Assist with FCA returns and reporting
• Collate corporate and individual due diligence
• Carry out AML, PEP and sanction checks / monitoring, investigating potential hits and escalating, as required
• Deal with KYC requests from third parties
• Identify and report suspicious activity to the MLRO and relevant financial intelligence bodies, as required
• Prepare management information and identify trends
• Assist with firm risk assessments and any identified actions
• Assist with the preparation of compliance reports for the Partnership Board and Risk and Compliance Committee meetings
• Support firm compliance with GDPR
• Ongoing compliance monitoring activities
• Assist with operational compliance queries from within the firm and from third parties
• Assist with complaint investigations and responses
• Support the firm’s operational resilience and business continuity process
• Keep up-to-date with regulatory changes that could affect the firm and proactively suggest improvements to compliance policies and procedures
• Any other ad hoc administrative duties required


The candidate should have previous compliance experience within financial services, AML & KYC.

The candidate should be organised, accurate, analytical, show initiative, with excellent IT and communication skills.

For more information, please send your CV for immediate consideration to

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Contact Josh about this job

AVP, Consultant