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Compliance Assistant Internship in London

You will assist the compliance manager in this role. you will also get a chance to gain a qualification in UK Financial Regulations.

What are you going to do


You will learn and assist the Compliance Manager to –

  • Complete the On-boarding process for Brokers external client requests and complete external client reviews, this includes-
    • Performing customer due diligence (KYC) and the checking of corporate companies, partnerships and individuals.
    • Initiate and Execute Give-up Agreements (via the DOCS system) and other relevant Counterparty documentation.
    • Maintenance of internal databases and customer files
  • Complete the on-boarding of new Brokers to the company –
    • Includes individual KYC & verifying documents
    • applying for DBS checks
    • using the FCA ONA system to process individual FCA applications
  • Undertake and issue staff training
  • Assisting with the on-going Compliance Monitoring Programme and keeping abreast of regulatory developments where necessary
  • Reviewing policies, manuals and keeping all records up-to-date and in-line with regulatory rules and guidance
  • Other responsibilities and ad hoc projects as reasonably advised from time to time

What we offer

  • The company will obtain CISI membership for the Intern with the study package and exam for the UK Financial Regulations (to study and pass within the years placement)
  • You will gain exposure to ever changing compliance requirements, therefore upskilling knowledge and experience on a regular basis to help in the progression of your career

What we ask:

  • GCSE or A level educated
  • N/A ideal position for a first job
  • QUALIFICATIONS (Essential (E) or Desirable (D))

  • 8 GCSE's of C grade or better (E)
  • A level education (D)
  • Degree education (D)


  • Experience or exposure of working in a legal, technical and/or regulatory framework
  • Good Microsoft Word & Excel skills

  • Good verbal and written communication skills
  • A highly organised individual able to prioritise workload as required
  • Ability to multi-task, be self-motivated and have good attention to detail
  • Able to work within a team and take direction
  • Good time management skills
  • Apply

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    Extra information

    This Internship is for 1 year starting ASAP

    Education Level
    Secondary School, College, University
    Working hours per week
    Type of Contract
    Internships, Placements
    Salary indication
    Between £18,000 and £20,000 Per Year
    Responsible for
    Type of Job
    Full UK/EU driving license preferred
    Car Preferred
    Must be eligible to work in the EU
    Cover Letter Required

    London | Legal Jobs | Internships | Placements | Secondary School | College | University

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