Junior Compliance Officer
All IPO plc is a regulated subsidiary of ADVFN plc located in the City of London providing retail stockbroking and corporate finance services to UK clients.
All IPO are recruiting for a new Junior Compliance Officer to assist the COO in performing the firm's daily compliance duties. We are looking for an enthusiastic, reliable, organised, and confident person with an excellent attitude to join our compliance team as a full time Junior Compliance Officer.
As a Junior Compliance Officer, you will assist in the smooth running of the compliance department by providing robust and efficient administrative and regulatory assistance. You will be responsible for compliance monitoring in line with the firm’s internal procedures.
This is an ideal role for somebody from a banking / legal / accountancy background who is looking to start a career in compliance.
Daily monitoring of compliance according to internal policies and regulatory requirements
Tracking regulatory changes and updating the directors to potential risks to the business
Assisting with client money reconciliation
Assisting with regulatory reporting
Maintaining and reviewing internal systems and controls and compliance related documents
Assisting with CASS and Statutory audits
To act as the deputy MLRO
Liaising with the accounts team to ensure firm’s accounting records are appropriately maintained
Telephone monitoring of trades placed for clients
Client on-boarding and account administration
Managing staff training to maintain skills and compliance
Chairing a monthly compliance meeting
Assisting with general administrative duties
Ideally you will have a level 1 or higher qualification in Regulation from the CISI or similar exam body.
Good understanding of financial services regulations and AML guidelines
Excellent organisational skills and attention to detail
Self-motivation and prepared to take responsibility and ownership of tasks
Strong mathematics and written English
Strong Microsoft Excel skills
Understanding of anti-money-laundering / know-your-customer / client on-boarding procedures
Understanding of the COBS, SYSC, and CASS sourcebooks