Compliance Assistant

Compliance Assistant (French Speaking)

Your new company
Hays is currently working with one of the world’s largest independent financial advisory groups. They provide M&A, strategy and financing advice, as well as investment and wealth management solutions to large institutions, families, individuals and governments, worldwide.

Your new role

Control Room:

  • Review and oversight of Personal Account Dealing and Outside Business Interests process including approvals and reporting
  • Global conflicts management: monitoring the deal management system and pre-clearing transactions which originate from the Global Advisory and Merchant Banking divisions
  • Daily management of conflicts of interest across multiple business lines
  • Liaising with compliance colleagues across the Group on conflicts of interest issues
  • Carrying out Holdings Disclosures checks to demonstrate compliance with certain aspects of the UK Takeover Code
  • Providing advice to the business on queries relating to the Market Abuse Regulation (MAR), New Business Process, and compliance procedures and policies
  • Maintaining the integrity of the information barrier by dealing promptly with information barrier requests and monitoring the flow of confidential information
  • Managing insider lists

  • Play a key role in the Group’s Compliance Learning programme, including but not limited to:
    • Liaising with third party supplier on compliance eLearning initiatives, oversight of training programme, implementation and reporting
    • Dealing with training enquiries
    • Collaborating with other offices in the group on training initiatives
  • Contribute to the Group’s Policy and procedures framework, including but not limited to:
    • Drafting of policies
    • Gaining requisite approvals of policies
    • Verification of implementation and other assurance
    • Communications
  • Maintenance of the Compliance technology initiatives and systems
  • Contributing to the communications initiatives of the Group function to other compliance functions globally
  • Participate in integration of new systems and technology to modernise compliance processes.

What you'll need to succeed

  • Experience gained in a financial services institution (ideally in Compliance, Risk, Legal or business function)
  • Relevant Bachelor’s Degree (top tier university desirable)
  • Qualifications relevant to the role, including compliance, audit, etc.

  • Excellent MS Office skills, particularly Excel and Word, databases, etc.
  • Understanding of the regulatory environment
  • Strong written and oral communication skills
  • A good understanding of data

  • Fluent in French a distinct advantage

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.


Job type:
Banking & Financial Services
Banking and Capital Markets
£28,000 - £35,000
Apply Now

Talk to a consultant

Talk to Joshua Simpson, the specialist consultant managing this position, located in London City

107 Cheapside, London, EC2V 6DN

Telephone: 020 3465 0110

Share Job