Compliance Officer
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Key skills for this role
About the Role
EFG Holding is seeking a Compliance Officer to assist in monitoring trading activities and ensuring adherence to regulations. The role involves reviewing KYC/AML documents, conducting sanctions screening, and handling client complaints.
Key Skills for This Role
Responsibilities
- Review KYC/AML documents for new clients and activate accounts
- Monitor trading orders for compliance with market rules
- Conduct AML checks including sanctions and adverse media screening
- Provide compliance reports to relevant parties
- Handle clients’ complaints and escalate as needed
- Ensure compliance with AML/CTF rules and regulations
- Complete AML/CTF training provided by the Group
- Respond to AML, CTF & sanctions inquiries in a timely manner
Requirements
- Bachelor’s degree in a relevant discipline
- 0 2 years of experience in compliance in a financial institution
- Knowledge of industry standards and regulations
- Excellent analytical and critical thinking skills
- Good Microsoft Office skills
- Excellent communication skills
- Ability to build partnerships and work in teams
- Detail oriented
- Ability to work under pressure
- Multi tasker with ability to prioritize
Full Job Posting
Purpose
- Assist in monitoring trading activities of the Brokerage division to ensure adherence to local and international rules, AML and Sanctions programs, and EFG Policies.
Responsibilities
- Review KYC/AML documents for new clients and activate accounts on the brokerage system.
- Monitor all trading orders to ensure compliance with market rules, and review errors and breaches.
- Conduct AML checks including initial and ongoing sanctions and adverse media screening.
- Provide reports to relevant parties to ensure adherence to Compliance Monitoring Program.
- Handle clients’ complaints and escalate to higher levels if needed.
- Ensure compliance with all applicable AML/CTF rules and regulations.
- Ensure timely completion of all relevant AML/CTF training provided by the Group.
- Ensure response to AML, CTF & sanctions inquiries in a timely manner.
Job Requirements
- Bachelor’s degree in a relevant discipline.
- 0 – 2 years’ experience in compliance in a financial institution.
- Knowledge of industry standards and regulations is a plus.
- Excellent analytical and critical thinking skills.
- Good Microsoft Office skills (Word, Excel and Power point).
- Excellent communication skills (written, verbal and listening).
- Able to build partnerships and work well in teams.
- Can identify problems and refer/escalate complex issues.
- Detail oriented; ensure high quality deliverables.
- Able to work under pressure.
- Multi tasker with ability to meet changing deadlines and prioritize.
- Self motivated and maintains a positive attitude.
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