Compliance and Legal Assistant

Job type:
6 months
Generic Network
flag_no USA
project ID:

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My Retail banking client is in need of a Compliance and Legal Assistant to Monitor, analyse and record regulatory developments and communicate these to the team.

Candidates MUST have recent experience of reviewing financial promotions and other business material for compliance with relevant regulations and compliance standards within the financial services.

Key Accountabilities:
* Ad hoc legal advice on wide range of existing and upcoming regulatory matters (ie Consumer Credit, MiFID activities/obligations, passporting rights, COBS/BCOBS obligations/Financial Promotion regimes).
* Receiving whistleblowing reports and maintaining the Whistleblowing Log on an ongoing basis. Reporting to Head of Compliance and assisting in quarterly reports.
* Review of marketing material from compliance purposes on a daily basis. Ensuring deadlines are met and expectation of business managed.
* Undertake special investigations and projects as required to support the need for assurances about the quality and extent of regulatory compliance
* Review upcoming regulatory changes and developments on a daily basis to establish what impact they will have on the company (includes FSA, OFT, LSB, EU, BIS, HMT and court decisions). Report impact of such updates via weekly Horizon update. In some cases detailed analysis of changes to regulations is required.
* Knowledge share with senior management, industry peers and other key internal and external stakeholders (eg speaking at team meetings attending group meetings, updating contacts in the business

Experience and Qualifications
* Educated to degree level; legal discipline strongly preferred
* Relevant legal experience, preferably in a financial services organisation
* Attention to detail is a key required skill
* IT literate
* Communication skills

Aston Carter Ltd is acting as an Employment Business in relation to this vacancy.