Conducted a comprehensive self-assessment process involving detailed reviews of trading practices, risk management procedures, and compliance frameworks.

Objective: To conduct an annual self-assessment ensuring compliance with MiFID II regulations and assessing the effectiveness of algorithmic trading activities.

Approach: Led a comprehensive self-assessment process involving detailed reviews of trading practices, risk management procedures, and compliance frameworks. Coordinated with various stakeholders, including risk management, compliance teams, and external auditors. Managed planning, regulatory communication, team leadership, and secured executive approvals. Conducted extensive validation and testing to ensure compliance with all regulatory requirements.

Outcome: Successfully ensured MiFID II compliance across the UK and Europe, minimizing legal risks and enhancing the credibility of trading operations. The self-assessment process also contributed to making the trading platform stronger, more efficient, and compliant. Received positive feedback from regulatory bodies and executive management, demonstrating the effectiveness of the firm’s compliance and risk management practices.