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    Compliance Assistant - London, United Kingdom - Trade Nation

    Trade Nation
    Trade Nation London, United Kingdom

    1 week ago

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    Description

    Job title: Compliance Assistant

    Team: Legal & Compliance

    Reports to: Compliance Manager

    Location: London

    Workplace model: Hybrid, 2 days in the office

    Who we are

    We are Trade Nation. We help our customers power up their trading through killer insights, transparent costs, and fairer ways to trade. We're innovators, and proud of it. And we've grown a lot in our decade as a market-leading low-cost trading powerhouse. Our reach is global through our teams in the UK, Australia, South Africa, Seychelles and The Bahamas.

    Founded on transparency, forged in trust and powered by people, we're committed to empowering our customers to outperform the markets. How? By minimising expenses and harnessing technology to prioritise the lowest trading costs.

    But enough about us. Let's hear about you.

    Who you are

    You're something special. You pride yourself on being unique and bringing your own history to the table – finding solutions to daily challenges in a way that can't be done by anyone else. Maybe you talk a big game, maybe you don't. The important thing is that you do what you say and follow through to see every customer thrive.

    You don't play with the bumpers up. That means breaking out of your lane when needed to help others – or forging your own completely. Every problem is our problem and that's how you see it too. Because Trade Nation's people have a shared vision, and you want to be part of making it a reality.

    You know when to take the right sort of risks, the ones that push you to be better. You're not afraid to try, fail, and then try harder. But don't worry, you'll have all the support you need to thrive with us at Trade Nation, and we can't wait to enable you to learn and grow.

    Ready to roll up your sleeves and get stuck in?

    Our commitments to each other

    We have each other's backs

    There when we need each other most

    We challenge each other

    Be more creative, more curious, more bold

    We thrive together

    Taking our work to the next level

    We form strong bonds

    Through team building and social events

    We don't judge

    Instead, we teach and are open to learning

    We step up

    Taking ownership and we supporting each other to do the same

    Job overview:

    We are seeking a driven Compliance Assistant. They will play a pivotal supportive role in ensuring adherence to regulatory requirements and internal policies. Reporting to the Compliance Manager and collaborating with other teams you will be instrumental in ensuring regulatory standards.

    This role is an entry level position and full training will be provided for the role.

    Key responsibilities

    • Supporting the Compliance team with the Compliance Monitoring Program
    • Collaborating with various teams across the organisation to gather information and documentation necessary for compliance efforts.
    • Supporting the Compliance team with other ad hoc tasks and projects as they arise.
    • Reviewing marketing communications.
    • Assisting with performing testing on 1st Line of Defence functions.
    • Support to the on-boarding team. Processing new client file opening requests and re-verification of existing clients, CDD checks on all new and appropriate existing client instructions.
    • Escalation of high risk factors, drafting referrals and obtaining senior management approval in line with the firm's escalation process.

    Qualifications:

    • Strong verbal and written communication skills.
    • Eager to learn by supporting a global compliance team.
    • Well-organised and proactive with good time management, and able to work in a dynamic organisation.

    Preferred qualifications

    • Knowledge of applicable UK legislation and regulations, particularly FCA rules.
    • A bachelor's degree in business, finance, law, or compliance or a related field.

    What's in it for you

    • Salary Sacrifice Company Pension
    • Private Health Care
    • Life Cover
    • Income Protection Scheme
    • Critical Illness Cover
    • Cycle to Work Scheme
    • Monthly Active Lifestyle Allowance - we pay towards any active lifestyle membership
    • Hybrid working - you can work from any location for up to 3 weeks
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