We are a financial company based in Limassol, we have offices spread across Europe. We are a traditional online brokerage company (not forex). Our focus is mainly on reaching European customers.
Main duties and responsibilities:
- Monitor communication between Clients and the various Company departments in line with the monitoring requirements of the relevant regulatory framework.
- Create periodic reports with regard to the client's compliance requirements
- Report relevant monitoring findings and recommendations for compliance to the Compliance Officer
- Assist in the drafting of relevant compliance policies and procedures in a documented manner
- Assist in the handling of client complaints and/or monitor the handling of client complaints by the relevant department
- Keep abreast with new legislation and regulation updates, and report in summary form such updates to the Management
- Assist in the preparation of reports for Regulatory Authorities and Management as appropriate
- Assist in conducting internal compliance audits and ensuring compliance with internal policies, procedures and structures
- Maintain close collaboration with relevant authorities and other counterparts