Richard Banks

Head of Compliance for an ASIC Market Maker licensed brokerage foussed primarily on APAC / EMEA regions. AML and Sanctions are major considerations. Responsible for the full Compliance Programme's publication and its implementation, as well as website accuracy.

Standard duties: improving operational efficiency, auditing / oversight, and development of policy. Also requireing leading onboarding with Payment Service Providers. This includes Payments Gateways, EMIs, Banks, Exchanges or Digital Wallet Providers.

Reporting directly to the CEO and Board of Directors. Also counted on for active problem solving with live issues and independently responsible for inter-departmental coordination.

- Ensuring legal and company framework compliance by Operations.

- AML administration.

- Audits reporting to CCO.

- Compliance Training.

- Maintaining relationships across team and departments.

- Key toner brands across Cartridgepeople.co.uk and two other websites.

- Ensuring legal, regulatory, and policy compliance, including contractually.

- Providing compliance training, and conducting relevant audits.

- Pricing decisions, building products, maintaining listings, analysing sales.

- Reporting monthly to senior management on progress with analysis.

- Self-employment online marketplaces for wholesale and retail simultaneously.

- Managed sourcing primarily through Alibaba and a few neiche sites.

- Independent distribution operation.

- Highly competitive pricing and bulk orders to ensure pricing share.

- Payments managed through Paypal but accepting other deposit methods.

- Speciality in 1:1 education.

- Effective communication with individuals whatever the challenges.

- Higher Education levels.

- Administrative duties such as GDPR and Data Privacy.

- Public speaking.