Compliance & Operations Assistant

Summary: The Compliance & Operations Assistant will support the Compliance Team by assisting with regulatory obligations, internal governance, and operational processes within a regulated credit ratings environment. This role involves close collaboration with senior compliance professionals and includes day-to-day administrative support. Key responsibilities encompass compliance monitoring, reporting, and training, as well as maintaining compliance systems and documentation. The position requires strong organizational skills and relevant experience in compliance or financial services.

Key Responsibilities:

• Support compliance activities including monitoring, reporting, and record-keeping.
• Participate in third-party and supplier due diligence, ensuring alignment with GDPR, anti-money laundering requirements, modern slavery legislation, and independence standards.
• Assist in reviewing contracts to verify compliance with regulatory and data-protection requirements.
• Assist in ongoing compliance monitoring programmes, including conflict-of-interest assessments, independence declarations, analyst rotation monitoring, and internal control testing.
• Help coordinate responses to internal audits, external audits, and regulatory supervisory requests.
• Maintain compliance trackers, logs, registers, and periodic reports for senior leadership.
• Conduct conflict-of-interest, sanctions, and PEP checks for rated entities, issuers, and related parties.
• Support maintenance of compliance systems, documentation repositories, and regulatory registers.
• Monitor staff adherence to internal policies such as gifts and hospitality, outside interests, expenses, and personal account dealing.
• Assist in preparing and maintaining compliance training materials and monitoring training completion.
• Support onboarding processes for new staff, including screening, references (where applicable), and assigning mandatory training.
• Coordinate exam and professional certification bookings related to regulatory and governance requirements.
• Support updates to compliance policies, procedures, and internal control frameworks.
• Assist in developing training presentations and compliance communications.
• Provide general administrative support to the Compliance function as needed.

Key Skills:

• Experience working within a regulated financial services organisation; experience in credit ratings, financial markets, or similar compliance environments is advantageous.
• A university degree is preferred.
• Relevant work experience in compliance, operations, governance, or risk is essential.
• Strong organisational and communication skills.
• Proficiency in Microsoft Office (Word, Excel, PowerPoint).
• Familiarity with compliance or workflow systems used in regulated settings is an advantage.
• High level of integrity, confidentiality, and discretion.
• Strong problem-solving skills and a proactive, self-motivated approach.
• Ability to work both independently and as part of a collaborative team in a dynamic environment.

Salary (Rate): £60,000.00 yearly

City: London

Country: United Kingdom

Working Arrangements: undetermined

IR35 Status: undetermined

Seniority Level: undetermined

Industry: Other