Responsibilities Conducting and co-ordinating risk-based monitoring reviews as part of the Compliance Monitoring Programme to assess regulatory requirements and internal policies; Assisting with regulatory inspections or enquiries and coordinating responses with input from relevant stakeholders; Use of automated surveillance and assessment of surveillance alerts from the trading venues; Overseeing KYC and AML reviews periodically per all clients, vendors and associated persons; Managing client and dealer on-boarding and documentation and attendant enquiries; Financial Promotions (review and sign off) Assisting with regulatory reporting to comply with the conditions of authorisation