- Daily trade monitoring to ensure correct procedure has been followed when executing trades. - Daily trade monitoring of execution only and advisory services - Ensuring correct documentation has been provided in relation to trade orders, specifically complex products and Funds- Ensuring front office staff are adhering to the Best Execution Policy - Ensuring internal procedure has been followed when booking trade orders - Monitoring outgoing payments, ensuring internal procedure has been followed- Client categorisation monitoring: documentation, K&E, risk profiles- Monitoring and conducting annual and monthly reviews of the banks Risk Register - Monthly Key Risk Indicator Reporting to the Groups Risk Office- Tracking and Monitoring Incidents, ensuring procedure has been followed and incident reports are meeting standard requirements. - Prepare and Chair monthly operational risk meetings with management. - Monitor and remediate client allocated Risk Limit Breaches and mifid Violations- Ensuring correct internal procedure has been followed when clients request the below: Discretionary Portfolio Management Services Advisory Services Elective Professional Opt-up- Ensuring cross boarder activities are monitored, and procedure has been followed.- Ensuring all front office staff have up to date market licenses. - Analysing and reporting Key Performance Indicators to Senior Management on a monthly basis- Other administrative support and committee attendance

- Processing and generating client trade orders- Generating and monitoring corporate actions - Monitoring and processing money market instructions - Managing fiduciary instructions – generating orders. - Daily reporting, specifically cash reconciliation, derivative, QI and bank shortposition reports - Rebooking stock exchange trades, liaising with the front office to maintain process efficiency. - Executing internal position transfers- Preparing and actioning DVP business - Preparing portfolio delivery’s in – checking products and eligibility.

- Executing orders via TT- Accurately taking and reporting client orders- Preparing and sending recaps- Liasing with other members of desks in order to facilitate business and service the customer- Reporting issues and dealing with customer requirements- Understanding of each market to discuss / comment on market action- Liaising with commercial hedge clients dealing with the Global Agriculture markets, providing advice, administrative support and market research - Comprehensive understanding of trade processes and procedures, specialising in derivative products