Senior Compliance Officer

Overview

Responsibilities

• Monitor the trading activities of the firm and its employees to ensure adherence to the relevant local and international rules and regulations, AML and Sanctions programs and EFG Polices.
• Review KYC/AML documents for new clients and activate accounts on the brokerage system. Ensure that their documentation is complete.
• Monitor all trading orders to ensure that they are taken according to the market rules and review errors and breaches.
• Conduct AML checks including but not limited to initial and ongoing sanctions and adverse media screening against the relevant sanctions lists (local and international) for all customers and employees.
• Assist in developing and maintaining all relevant policies and procedures based upon regulatory requirements, industry practices and established internal controls.
• Assist in identifying potential areas of compliance vulnerability and risk, and developing and implementing corrective action plans for resolution of problematic issues.
• Provide reports to relevant parties on a regular basis in conjunction with the Compliance Monitoring Program.
• Handle clients’ complaints and escalate to higher levels, if needed, for further action.
• Respond to all regulatory inquiries and act as the firm’s liaison with regulators.
• Keep abreast of new regulations and communicate them to employees.
• Ensure all employees comply with the firm’s staff trading policy and other policies released by the Group and/or the Brokerage division.

Job requirements

• Bachelor’s degree in any discipline.
• A minimum of 5 years’ experience in Compliance and AML in a financial institution.
• Knowledge of the industry’s standards and regulations.
• Excellent analytical and critical thinking skills.
• Good Microsoft Office skills (Word, Excel and PowerPoint).
• Excellent communication skills (written, verbal and listening).
• Able to build partnerships and work well in teams.
• Can identify problems and refer/escalate complex issues to a higher level.
• Detail oriented; ensure deliverables are always of a high quality.
• Able to work under pressure.
• Multi-tasker, with the ability to meet changing deadlines, and to prioritize and handle multiple projects.
• Self-motivated and maintains a positive attitude.