Margita Layne

Experience

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  Fidelity Worldwide Investment

  Feb 2011 - Sept 2015

  Key Responsibilities:- Managing Team of 10+ Associates to ensure that knowledge is kept up to date with internal and regulatory changes- Resource Management with ability to analyse and alter resources to meet Service Level and productivity targets- Involved in Recruitment Process ensuring a smooth transition from Training environment to a Team - Working closely with Operational & Support Teams in UK and India/Tunisia to drive continuous improvement of customer experiences by reviewing feedback, comments and complaints from NPS and other resources- Managing career progression of Associates whilst ensuring retention of quality people and minimising staff attrition - Growing and maintaining industry knowledge and adapting to internal and external changes- Delivering projects for the department with buy in from a Senior Manager / Director of Client ServicesKey Achievements:- Completed Unit Two of IMC Qualification and obtained IMC Certificate- Completion of external MS Office Excel, Powerpoint and Visio Courses- Gained exposure to Senior management across the organisation - Represented department in key projects/initiative (Brokerage, Sunset Clause, Retail Distribution Review) Show less

  • Team Leader

    Jul 2014 - Sept 2015

  • Client Services Senior Associate

    Feb 2013 - Jun 2014

  • Client Services Associate

    Feb 2011 - Jan 2013
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  ETX Capital

  Sept 2015 - Dec 2016

  Compliance Executive

  Delivering and overseeing the delivery of the compliance monitoring programme.Delivering reports and management information to support findings and recommendations arising out of compliance monitoring activity including proposal of corrective actions to prevent future breach occurrences.Assisting as required in the investigation of suspicious transactions and the preparation and submission of reports for relevant authorities (FCA, NCA, HMT).Contributing to the review and enhancement of internal policies and procedures.Acting as a main point of contact for liaison with international offices (Slovakia, Czech Republic) including delivery of an ongoing training and providing support with day to day queries.Assisting in the design and delivery of compliance training including the maintenance of records (in the UK and in the international offices) including assignment of the regulatory training for all employees.Investigating formal complaints and complaints referred to the FOS including.Reviewing and approving client categorization requests.Reviewing and approving applications for corporate accounts.Assisting in the Call Monitoring of Czech calls including a daily summary to the business whilst ensuring that full audit trail of monitoring and any identified issues is kept up to date.Performing First Deposit Calls for CZ/SK clients to ensure that accounts were opened in line with our T&Cs and clients were fully aware of the products/services offered by ETX.Monitoring trades that fall under ’8 % market movement’ threshold by running a daily report and investigating any abnormal transactions based on client’s trading profile and history.Reviewing and advising on front office escalations related to suspicious activities related to market abuse, bribery and corruption.Requesting information from the FCA on Transaction Reports and arranging data comparison provided by Abide Financial to perform transaction monitoring review (MiFID &EMIR) Show less

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  Divisa Capital

  Jan 2017 - Oct 2017

  Compliance Executive
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  INFINOX CAPITAL

  Oct 2017 - Oct 2018

  Compliance Manager
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  PSI-Pay Ltd

  Nov 2018 - Dec 2021

  Head Of Compliance & MLRO
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  Neopay

  Dec 2021 - now

  Consultancy Manager

  Be confident in your compliance