Junior Compliance Officer

London, England, United Kingdom · Compliance

Description

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.

Responsibilities

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


Requirements

Ideally you will have a level 1 or higher qualification in Regulation from the CISI or similar exam body.

Essential

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


Desirable

Understanding of anti-money-laundering / know-your-customer / client on-boarding procedures

Understanding of the COBS, SYSC, and CASS sourcebooks

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