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Compliance Officer
A highly regarded trading platform based in their City of London office. Description The key responsibilities of the Compliance Officer are: ?? Conducting risk-based monitoring reviews as part of the Compliance Monitoring Programme ('CMP'), both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies; ?? Helping to update the CMP following any changes to the business or market behaviour; ?? Use of automated surveillance and assessment of surveillance alerts from the trading venues; ?? Performing AML/KYC reviews periodically per all clients, vendors and associated persons; ?? Assisting with regulatory reporting to comply with the conditions of authorisa


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