Legal and Compliance Assistant (Financial Services) - cer Financial Ltd : Job Details

Legal and Complaince Assistant

Job Description

This is a broad and varied support role to assist with the smooth running of the Compliance & Legal Department, supporting primarily the Head of Legal & Compliance and other staff in the department.

Key duties include:

• Attendance and minute taking at board meetings and various committees, and other meetings as required.
• Writing minutes and circulating them to the Directors and other relevant staff.
• Collating board packs and deliver them to Executive Directors and Non-Executive Directors.
• Circulation of written board resolutions and other communication with external directors.
• Ad hoc filings to Companies House (e.g. new director appointments).
• Liaising with Head office on new guarantees, and liaison with other offices.
• Preparing and proofreading documents for execution.
• Sending out template agreements and documentation.
• Issuing letters to customers and business partners (e.g. finalising, printing out and posting).
• Maintaining and updating databases.
• Updating other departments on concluded documentation.
• Ad hoc legal research.
• Possibly some drafting and negotiating of contracts and other documents where required.
• Preparing presentations for the directors and other staff.

• Liaising with counterparties on any guarantee renewals.
• Carrying out KYC checks and preparing and issuing account opening documents to new customers.
• Carrying out various other administrative tasks to assist the smooth operation of the department, such as completing and processing various forms, enabling/terminating access to various trading systems etc.

Person Specification

• The candidate must have the right to work within the UK/EU without specific sponsorship, since client is unable to provide assistance with Visas.
• Previous experience (ca. one year) of working within a legal/compliance department is preferred
• Financial services (Regulated environment) experience would be advantageous.
• Passion for legal/regulatory work and eager to learn from others and independently.
• Ability to demonstrate initiative and common sense, with a very strong attention to detail.
• Co-operative nature and able to work both within the team and without supervision.
• Highly organised and able to meet deadlines, especially at busy periods of the month.
• Flexible and adaptable.
• Punctual, well-presented, and able to communicate effectively with both staff and outside customers, in a truly-international company.
• Excellent MS Office skills
• A good general education, ideally a law graduate with a 2:1.
• Language skills would be advantageous, but not essential