CFD and FX Trading Platform Case Study

This client required cover for their Financial Crime and Compliance Manager for three months to cover a sudden and unexpected absence. Due to the level and nature of the position, they required someone with the appropriate level of experience and knowledge in order to comply with their regulatory obligations, as well as to ensure the smooth running of the business. We provided the required cover until their permanent team member returned. The role included ensuring the appropriate due diligence of new programme managers as well as on-going due diligence on existing partners, training and advising staff and relevant business partners on Money Laundering and Fraud Procedures, compliance testing, transaction monitoring and fraud monitoring, the analysis of compliance guidelines and legislation and the preparation of internal guidance/procedural documentation, monitoring and review of compliance within the organisation and advising business partners on acceptable KYC processes.