Prince Kosoko

An experienced law graduate with a demonstrated history of working within the legal and financial services industry. Skilled in negotiation, word processing, and legal assistance; I am equipped in planning, developing and implementing compliance programmes with a working knowledge of Anti-money laundering regulations and risk management.

Currently at CMC Markets as a Compliance Analyst, responsibilities include:

• Keeping up to date with regulatory and legal changes within the financial services market and the FCA handbook, including COBS and PERG.
• Providing support and guidance in relation to MiFIR, MiFID, and EMIR queries.
• Reviewing and assessing financial promotions, marketing material and operational communications, to identify regulatory risks and breaches whilst providing feedback through cloud-based software.
• Enhancing the approval framework, ensuring it remains appropriate and compliant and creating/updating new/existing Compliance procedures and policies for the business.
• Dealing with client complaints through to resolution through various mediums, ensuring it is compliant and in line with our obligations, including GDPR.
• Maintaining position as a first point of contact across the business for Compliance issues, including providing guidance and advice to stakeholders on the applicable regulatory requirements.
• Advising the business on regulatory positions in relation to new product/service lines and the impact this may have on the business and/or clients.
• Partaking in the Compliance monitoring programme, conducting reports on items such as transactions and trades providing recommendations or further information to senior management.
• Assisting with the provision of regulatory and compliance training across the business that focuses on various teams’ different work streams, products, and regulations.
• Creating and compiling management reports (MI) on compliance monitoring aspects, such as Institutional and Retail target client markets, Client money for GmbH and CASS resolution packs.
• Completing FCA reports and notification applications, alongside the compliance risk monitoring programme in relation to the post use review of marketing material and website content.

CISI L6 in Investment Compliance

ICA International Advanced Certificate in Regulatory Compliance

LLB Law Honours Degree