Compliance Assistant - Investment Bank
at Robert Half International UK

Date Posted: 21/04/2019

Job Description

Ref ID:  06030-0010849319


Compliance Assistant

Investment bank




  • Responsible to maintain KYC diary
  • To perform AML & Sanctions first and second level screening in clients onboarding and remediation process
  • To assist with Compliance Quarterly Monitoring (Policy testing such as Sanctions, Chinese walls, Gifts & Entertainment, Bribery & Corruption, Recorded line, Trading)
  • Updating Compliance spreadsheets (Gifts & Entertainment, CISI Membership, CCD Client list, Recorded lines and other)
  • Responsible for sending out Compliance Communications to relevant staff and ensure that responses to the communications are obtained
  • Assisting in preparation of Management Information
  • Helping out with Power Point presentations
  • Archiving Compliance files into Iron Mountain
  • Supporting Compliance temporary staff( if any)
  • Maintaining customer KYC files
  • Compliance meetings
  • Maintenance of Compliance electronic filing system


- up to 2 years experience in compliance

- Graduate or equivalent

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms:

Job Snapshot

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