Compliance Associate
3 weeks ago
Company Description
Clear Capital Markets Limited is an advisory stockbroker firm specialising in UK Stocks and IPOs. Our services include Execution Only, Advisory, and Discretionary services to our individual and corporate clients, delivered by our highly experienced team of industry professionals
Clear Capital Markets Limited fosters long-term client relationships based on trust and respect. We collaborate with clients to navigate the financial markets, focusing on research-driven investment ideas to achieve successful results.
Role Description
This is a full-time role for a Compliance Associate at Clear Capital Markets in London with flexibility for hybrid work.
The Compliance Associate will be responsible for ensuring efficient onboarding and maintaining compliance records in line with the Firm's policies and procedures. The role involves supporting compliance initiatives and maintaining data accuracy in key systems and controls.
Key Responsibilities
Client Onboarding
- Assisting the onboarding process for new clients and ensuring adherence to CCM procedures.
- Maintain up-to-date and accurate onboarding records.
Management and maintenance of Insider Lists
- Assist in managing insider lists, which includes recording insider transactions and sending cleansing emails.
- Maintain up-to-date and accurate records relating to insider activities.
CRM Maintenance
- Maintain up-to-date and accurate records relating to client data.
Ad-Hoc Compliance Support
- Assist with compliance projects and tasks as they come due.
Who we are Looking For
- A minimum of 1 years experience in a CDD and/or KYC role.
- Relevant qualifications are desirable but not mandatory.
- Computer literacy proficiency, including Excel and CRM databases.
- Strong attention to detail and analytical skills.
- Excellent written and oral communication skills.
- Organised and methodical in maintaining records and systems.
- Ability to work in a collaborative manner and support compliance initiatives across the organization.
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