• To identify the risks that the firm faces and advise on them (identification)• To design and implement controls to protect the firm from those risks (prevention)• To monitor and report on the effectiveness of those controls to the management and to the regulatory authorities (French ACPR and AMF, UK FCA, Spanish CNMV)• To resolve compliance difficulties as they occur (resolution)• To advise the business on rules and controls (advisory)• To animate an AML-CFT committee• MLRO ("Déclarant/Correspondant" TRACFIN)

Compliance and Risk monitoring plan for the supervision of all trading activities.

COMPLIANCE (SMF16)- Develop and implement the compliance strategy to meet the Regulatory requirements.- Prepare and undertake a risk-based annual Compliance Monitoring Program and report any deficiencies to Senior Management.- Assist the Bank in understanding and addressing all applicable regulations.- Keep Senior Management and/or the Board of Directors notified as to applicable returns to be completed and timeframes for submission to the FCA/PRA/other Regulators.- Assist Senior Management in liaison with Regulatory agencies, and internal and external requirements on compliance related matters (namely AML/KYC, COBS, CASS, COLL). Ensure Senior Management are notified of external requests for consideration prior to responding.- Responsible for the performance by the firm of its obligations under the SMR, incl. implementation & oversight.- Ensure appropriate open relationships maintained with the FCA/PRA and other regulators through completion and submissions of all applicable returns, including transactions reporting requirements. Work closely with management to establish an appropriate compliance culture throughout the BankMLRO (SMF17)- Responsible for oversight of compliance with the FCA's rules on systems and controls against money laundering and for countering the risk that the firm might be used to further financial crime.- Responsible for monitoring the day-to-day operation of AML/CFT policies, and respond promptly to any reasonable request for information made by the FCA, NCA or any other law enforcement.- Responsible for establishing the basis on which a risk-based approach to the prevention of ML-TF is put into practice and review the approach on a regular basis.- Responsible for all the AML reporting requirements and operate within the required standards.- Responsible for ensuring that adequate arrangements are in place for the awareness and training of employees.

Main responsibilities include: Monitoring changes to requirements to mitigate risks and achieve compliance Writing, implementation and audit of KYC-AML procedures - and AML-KYC remediation Conduct legal/regulatory research (Europe/Africa) and KYC remediation Manage relationship with securities and market authorities and strategic partners Assist our clients to comply with their compliance and regulatory obligations (audit, gap analysis, advise and training) Promoting a multi-channel financial services platform (STAR ISC: Market abuse and AML risks monitoring; INVOXIS: Customer due diligence and client screening; RESEARCHPOOL: a Marketplace for Financial Research and IFC DATA​: Market data distribution service on Shares, Bonds, FX and Funds). Team management

- Accountable for driving profitable revenue growth and increased share value, by engaging with clients on EQUIDUCT to achieve 75% of marketable orders executed on the platform. - Promote our pool of liquidity resulting from our extensive Market Making activity through Equiduct for Retail clients and through Broker Crossing Network (BCN) for Institutional clients, - Help our clients to achieve their ‘Best Execution’ obligations, using our state-of- the art technology for Direct Market Access and our suite of algorithms regularly rewarded by clients (buy-side/Sell-side) and professionals. Algorithmic Services by KCG include the Knight Direct and GETAlpha suites of execution algorithms and the Knight Direct EMS for clients who want to control their access to the markets with superior algorithmic tools.KCG Europe Limited ("KCGE") is a U.K. registered broker-dealer and systematic internaliser that provides execution services for institutional and broker-dealer clients across a broad range of asset classes covering U.S., European and international markets.

- Designed and implemented the market model (Type of orders, trading rules, fees scheme, targeted clients, etc.)- Understood and assessed the impact (at country and European level) of regulatory changes on the MTF business. Represented the MTF in discussions with regulators and with various industry bodies concerning the development of markets and services. Sought regulatory approvals for new initiatives, in coordination with other Business Lines and/or group legal functions.- Supported the development of the customer value proposition – trading, products and services- and translated them into administrative and operational procedures.- Ensured that best industry standards are set towards clearing and settlement houses/agents. Pushed for inter-operability between the MTF and post trade services providers.- Defined legal and contractual policy for clients (flow providers, ISV, data vendors), in coordination with group departments, including in cooperation with Client Relationship Support.- Identified and solved potential market model issues.- Manage costs- Introduce the market model to all clients through conferences and bilateral meetings (UK, Belgium, France, Germany, Netherlands, Nordics and Switzerland)

- Market surveillance- On-site inspection- Complaint and litigation committee