Compliance & Trade Support Assistant

Location: Muswell Hill, North London (N10) — office based

Collins Sarri Statham Investments (CSS) is an FCA-regulated advisory stockbroker. Our small, close-knit team looks after clients’ investments with care, precision and a genuine sense of responsibility. As a long-serving colleague heads into retirement, we’re looking for someone to train up and grow into a key role at the heart of the business.

About the role

This is a rare opportunity to learn how a regulated stockbroking firm actually runs. Working across both compliance and trade support, you’ll be fully trained in everything from client account administration to the daily monitoring that helps the firm meet its regulatory obligations. It’s a varied, detail-rich role where no two days look quite the same — ideal for someone organised, reliable and keen to build a career in financial services.

You’ll be fully trained and supported throughout, with the opportunity to study towards a relevant industry qualification (such as CISI) over time.

What you’ll be doing (with full training)

• Supporting the firm’s daily trade monitoring in line with the Compliance Monitoring Programme
• Reviewing and processing new client account opening requests
• Investigating and clearing overnight client screening flags, referring anything unresolved to the Head of Compliance
• Maintaining key registers and records (financial promotions, trade errors, PA dealing, RCP) accurately and on time
• Logging client complaints and helping ensure response deadlines are met
• Helping review trading and financial transactions, referring findings as needed
• Providing general office and administrative support to keep the team running smoothly
• Using AI tools sensibly to help you work more efficiently and accurately

What we’re looking for

• Excellent attention to detail and a methodical, accurate way of working
• An organised, proactive self-starter who’s reliable and keen to learn
• A confident, approachable manner with colleagues and clients
• Comfort with numbers and everyday IT, including Microsoft and Google software
• Comfortable using AI tools, and keen to use them to work smarter — a real plus
• The ability to handle confidential information with discretion
• Keen to learn about the FCA regulatory regime — prior knowledge is welcome but not required
• Some office experience is preferred but not essential — attitude and aptitude matter most, and full training is given
• A good standard of general education
• A university degree is desirable but not required
• We’ll support the right person to study towards a relevant compliance qualification (CISI); existing progress is welcome but not expected
• Full training and genuine career development in a regulated financial services firm
• Support to gain recognised industry qualifications
• A friendly, supportive team where your work really matters
• A stable, long-term role — the kind of position people stay in

Collins Sarri Statham Investments is an equal opportunities employer and welcomes applications from all backgrounds.

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