Assist in Communications Surveillance of office staff escalating all related issues with the Head of Compliance
Assist in completing daily transaction monitoring reviews against market abuse escalating all related issues to protect the business
Conduct regular trade reviews and reconstructions escalating all related issues to the Head of Compliance
Collaborate with different company departments to monitor enforcement of standards and regulations
Assist in preparing reports/ requests for senior management and external regulatory bodies as appropriate
Manage and co-ordinate the on-boarding process seamlessly for the client from start to finish to ensure a smooth transition from onboarding client to active client
Communicate efficiently with the respective client and/or broker to gather all necessary information
Responsible for coordinating all KYC documentation request and ado...