Junior Compliance Assistant in Financial Company - London, United Kingdom,


Main Responsibilities:

  • KYC and AML reviews and file checks
  • Undertaking compliance monitoring reviews
  • Daily monitoring (calls and emails)
  • Escalated Complaint handling
  • Financial promotions review and sign off, including social media and company website
  • Assisting with internal reports and reporting any suspicious activity or transaction to the National Crime Agency (NCA)
  • Transaction reporting (MIFID & EMIR)
  • Assisting with internal reporting
  • Monitoring and dealing with the Compliance Inbox

Skills and Competencies:

  • Preferred but not required: Previous experience in a CFD / FX environment working with retail clients
  • Highly developed interpersonal and communication skills,
  • Proactivity, autonomy, self-starter attitude.
  • Ability to listen and excellent sense of service.