COMPLYPORT in London Salary
1 KINGS AVENUE LONDON N21 3NA UNITED KINGDOM
TIN: 04333584
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Earnings on positions in COMPLYPORT
COMPLYPORT is looking for employees for positions:
department manager
Language
- english
Responsibility
- managing regulatory applications, maintaining current licences and regulatory relations
- managing the compliance monitoring plan, AML program, KYC/client onboarding, trade surveillance and derivative transaction reporting frameworks
- maintaining awareness and ensuring compliance with UK regulatory framework, securities laws and regulations
- network and market Complyport in the FX CFD sector, both in the UK and in the EU
- continuously reviewing and updating existing manuals, policies, procedures and training programs to reflect latest regulatory changes
- identifying any process gaps and improvement procedures, formulate remediation action plans
- overseeing the remediation of self-disclosed non-compliance issues, timely resolution of audit findings, any identified compliance gaps
- developing and delivering senior management reporting on regulatory changes, key controls testing and incidents management