Compliance and Legal Assistant

THE COMPANY: Our client is a London-based broker and market maker, specialising in the trading of futures, options and other derivatives.

THE RESPONSIBILITIES:

1. Attendance and minute taking at board meetings and various committees, and other meetings as required.
2. Writing minutes and circulating them to the Directors and other relevant staff.
3. Collating board packs.
4. Circulation of written board resolutions and other communication with external directors.
5. Ad hoc filings to Companies House (e.g. new director appointments).
6. Liaising with other offices on new guarantees.
7. Preparing and proofreading documents for execution.
8. Sending out template agreements and documentation.
9. Issuing letters to customers and business partners.
10. Maintaining and updating databases.
11. Updating other departments on concluded documentation.
12. Ad hoc legal research.
13. Possibly some drafting and negotiating of contracts and other documents where required.
14. Preparing presentations.
15. Liaising with counterparties on any guarantee renewals.
16. Carrying out KYC checks and preparing and issuing account opening documents to new customers.
17. Carrying out various other administrative tasks.

EXPERIENCE REQUIRED:

1. Previous experience of working within a legal/compliance department is preferred.
2. Financial services (Regulated environment) experience would be advantageous.
3. Passion for legal/regulatory work and eager to learn from others and independently.
4. Ability to demonstrate initiative and common sense, with a very strong attention to detail.
5. Co-operative nature and able to work both within the team and without supervision.

For further information please contact Natalie Eshelby.