Compliance Manager
BTC
مجموع سنوات الخبرة :27 years, 1 أشهر
✓ Carrying out the compliance function of the Company to ensure the day today functions are adhering to SCA regulations.
✓ Reporting to the BOD on regular basis & un-regular basis all related issues with compliance.
✓ Filing the Periodic reports required by SCA.
✓ Administration of compliance on-boarding functions including KYC and Customer Due Diligence.
✓ Advise the business regarding the AML aspects in relation to the services in new and existing markets.
✓ Follow up with the new rules from SCA to work on implementing it & explain it to the relevant departments.
✓ Comply with company’s internal regulations.
Carrying out the compliance function of the Company to ensure the
Day today functions are adhering to SCA regulations.
Reporting to the BOD on regular basis & un-regular basis all related issues with compliance.
Filing the Periodic reports required by SCA.
Administration of compliance on boarding functions including KYC and Customer Due Diligence.
Advise the business regarding the AML aspects in relation to the services in new and existing markets.
Submitting requests to SCA to add or accredit a new employee via
The Eservice system (SCA portal), also book CISI exams.
Check on customer’s complaints & give opinion to solve it.
Follow up with the new rules from SCA to work on implementing it & explain it to the relevant departments.
Comply with company’s internal regulations.
I have the integrated experience in helping the company to obtain the approval for Margin Trading from SCA and both Markets.
Prepare and send the weekly reports regarding Margin Trading for SCA and
Both Markets.
Oversee all daily brokerage operations including account opening procedures,
Customer documentation, customer’s statements, transfers, and cashiering.
Monitored operational policies, procedures and controls to cover any potential
Operational risk and to ensure compliance with all applicable laws
Reconciled the received orders(recorded&written) with daily transactions to ensure that these are processed accurately and in a timely manner.
Provide general assistance to brokers in their day-to-day operations concerning regularizing any fail trades and the reconciliation of daily customers’ orders.
Liaised with the Stock Market Exchange and Securities & Commodities Authority concerning periodic inspections and/or legal and financial issues.
Ensured that all customer queries, complaints and suggestions are handled effectively properly and effectively
Generated the financial reports.
Ensure timely processing and accounting of cash deposits and withdrawals into Client trading accounts
Verify up-to-date client position on the back office and front office systems before Authorizing cash withdrawals
Verify settlement obligation with respective exchanges and confirm availability of Cason settlement date.
Take appropriate action in case of any shortfall
• Receiving orders from the clients
• Placing orders in the systems (ORION )
• Confirming orders with the clients
. Receiving orders from the clients
. Checking clients cash ledger to be ensure that there is
enough money
. Checking Equator to be ensure that there is enough
quantity
. Placing orders in the systems
. Confirming orders with the clients
. Sending my daily activity reports to the management
. Management clients' portfolio
. Maintain a close relationship with all clients.
. Managing operations to meet deadline customers
. Receiving orders from clients
. Placing orders in the systems
. Confirming orders with the clients
.Receiving orders from clients
.Placing orders in the systems
.Confirming orders with the clients
.Receiving orders from clients
.Placing orders in the systems
.Confirming orders with the clients
Diploma in finance and Investment Ain Shams University 2001 (2 years)
Good