Role details

Finance & Compliance Assistant - Investment Advisory Firm

London   •  Permanent

Bullet points

  • Specialist Investment Advisory Firm
  • Exposure to both Finance & Compliance required

About Our Client

My client is a reputable Financial Services firm with offices located in the heart of Central London.

Job Description

Located in their Central London offices and reporting directly into the CEO, the Finance & Compliance Assistant will be responsible for the following tasks:


  • Daily monitoring of Company bank accounts and assisting the Company accountant to identify all transactions.
  • Receivables - Preparing revenue invoices, tracking their payment status and allocating revenue to clients.
  • Payables - Approving and processing payment of invoices for multiple entities and allocate costs internally.
  • Produce quarterly accrual schedules for receivables
  • Produce Management Information (in excel); cost analysis (monthly), revenue analysis (monthly) and Relationship Manager scorecards (quarterly and annually).
  • Support accountant and management in quarter-end and year-end processes.


  • Assist external Compliance advisors and management to maintain regulatory compliance for the Company.
  • Review CDD and KYC for new clients, prior to management sign-off
  • Track and monitor CDD and KYC review dates, and assist with client file reviews
  • Assist to review and implement the Company's policies and procedures, including checks to ensure policies and procedures are being followed.
  • Track and monitor staff compliance training and where required, ensure RDR compliance
  • Regular liaison with external Compliance advisors regarding regulatory updates and assist them with their quarterly assessment of the Company's compliance.
  • Assisting with employee onboarding or departures including organising background checks and registering/removing staff from FCA register.

The Successful Applicant

Educational and Professional Qualifications

University Degree preferable

Work Experience/ Background

Candidates should have 2 years exposure to both Finance and Compliance, preferably in Financial Services.

Technical Skills and Knowledge

Excellent PC user knowledge and good knowledge of Excel is a must

A good level of proficiency in all Microsoft Office applications

What's on Offer

Remuneration will include a salary between £30,000 - £35,000 per annum and an excellent additional benefits package.

Apply for this job

Click the Apply or LinkedIn button below or contact Steven Wheller quoting job reference 13698563
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