CEO, Head of compliance and AML
Admiral Markets
مجموع سنوات الخبرة :8 years, 8 أشهر
Executive member of the management team of a systematically important forex brokerage firm, offering a full scope of services to Institutional and Retail Investors. Shared responsibility of the Investment Firm’s strategy. Responsible for the general day to day management of the Investment Firm. Maintained and reviewed policies, procedures and practices to ensure compliance with laws and regulations. Managed all areas of compliance including internal operations policies and compliance with regulations including MiFID, FATCA and the Laws and Directives relevant with the prevention of Money Laundering and Terrorist Financing Activities. Submission of all regulatory reports to Cyprus Securities and Exchange Commission. Performed all other managerial and compliance functions as set out in the Investment Firm’s internal policies
Development of necessary policies and procedures for the general operation of the Company’s compliance and AML program. Preparation and submission of all regulatory reports. Advised and updated Company Departments and Senior Management on regulatory matters. Implementation and monitoring of the Company’s risk management framework. Carrying out steps to safeguard the company against potential compliance risks. Responsible for the functioning of systems of internal risk control and monitoring. Production of periodic risk reports for the Company’s Executive Directors and BoD.
Responsible for creating, implementing and periodically reviewing the Company’s CDD and account opening policies and procedures. Ensure that the said policies and procedures are compliant with relevant regulations at all times. Acting as the key resource for front line staff providing guidance and training in regards to construcing, evaluating customers economic profile and gathering relevant documentation. Ensure that all record keeping requirements relvent to CDD are met and undertake periodic reviews.