Bilal Waheed Email & Phone Number

London, Gb

London, City Of London, Gb

Tallinn, Tallinn, Ee

Toronto, Ontario, Ca

•Maintain a programme of actions to ensure that the businesses comply with their regulatory obligations •Oversight of client on boarding and daily transactions vetting and approval before cut-off periods. In particular for high risk payments. •Continuous monitoring program client transactions, dealer execution.•Oversight and reconciliation of client funds in accordance with PSR’s and CASS rules. •Oversight of Regulatory filings to FCA and other relevant bodies. •Provide regulatory briefings to senior management. •Regulatory reporting to SEPBLAC on behalf of Spanish Branch. •Oversight of EMIR reporting, including LEI registration.•Co-ordinate relevant financial regulatory returns including COREP.•Implementation across the UK of the company’s Financial Crime, Anti Money Laundering and Compliance policies. •Manage Compliance Officer and provide staff training •Maintain breaches, financial promotion, complaints and gifts registers

London, Gb

•Perform regular audits in order to implement Quality Management systems and standards and produce regular audit reports.•Maintain current and accurate records of all relevant communications, audits, corrective action plans, and effectiveness monitoring.