Responsibilities:

1. Ensure the implementation of an effective Compliance Monitoring programme, Compliance manual, AML and Sanctions programs, systems and controls in compliance with applicable regulations.
2. Review KYC/AML documents for new clients and activate accounts on the brokerage system. Ensure that their documentation is complete.
3. Monitor all trading orders to ensure that they are taken according to the market rules and review errors and breaches.
4. Conduct AML checks including but not limited to initial and ongoing sanctions and adverse media screening against the relevant sanctions lists (local and international) for all customers and employees. Monitor customers’ transactional behaviour to ensure early detection of suspicious or unusual activity.