Liaise with the Head of Compliance and demonstrate competence required to run the compliance department on his/ her own.
Ensure that the Company’s business is compliant with all applicable regulations including EU EMIR, REMIT, MiFID II, 4th Anti-Money Laundering Directive, Market Abuse Directive and the Total Group’s Anti-Bribery & Corruption (ABC) policies.
Oversee the development and implementation of procedures including appropriate systems and controls in order to ensure and facilitate compliance with all applicable Rules and Regulations. As part of this process, ensure Company’s Compliance Documents and databases are kept up to date and ensure that all compliance verification checks, including Anti-Money Laundering Checks are carried out on counterparties.
Ensure compliance department has adequate IT systems in place including but not limited to KYC onboarding tool (sharepoint or equivalent) and compliance intranet page and gifts and hospitality register. Manage the updating and development of such IT systems (in conjunction with IT and other relevant departments).
In conjunction with the Head of Compliance, operate and maintain the TGP Compliance Monitoring Programme and ensure the Programme is completed within the parameters defined.
Maintain awareness of regulatory developments and its impact on current and future business practices and keep TGP Directors and Senior Management informed of relevant changes to rules and procedures.
In conjunction with the CO, ensure that Anti-Bribery & Corruption and Fraud matters including, training, development and maintenance of hospitality register and update policies and procedures as and when required. Keep up to date with developments with group compliance directive and supporting policies and procedures.
Provide general advice and guidance on compliance issues to the Front Office and other departments within the firm.
Liaise with the CO and CEO of TGP and with other departments of TGP with respect to compliance matters throughout all departments of TGP and with group compliance officers.
Compliance Training programme: Ensure that appropriate compliance training and updates are given to Directors, Senior Management and all employees and new employees.
Prepare Annual compliance and Audit reports (regulatory risk analysis).
