Compliance Officer – Trading and Brokerage Expertise
3 days ago
The role is responsible for overseeing all onboarding, compliance, and risk management activities within the business.
Responsibilities:- Ensure AML Compliance policies and framework are in place, adhering to regulatory requirements.
- Oversee customer onboarding and KYC processes to mitigate financial and reputational risks.
- Develop and enhance procedures related to AML/CFT/Sanctions and Anti-Bribery practices.
- Monitor high-risk transactions and conduct thorough risk assessments to maintain a secure business environment.
- Assess and mitigate gaps in the business's Risk profile through continuous monitoring and improvement.
- Stay up-to-date with evolving regulatory developments and ensure compliance policies align with laws and regulations.
- Investigate alerts, red flags, and other issues promptly to prevent potential risks.
- At least 3-5 years of experience in compliance, risk management, or a related field.
- Proven expertise from a regulated trading or brokerage firm, with a strong understanding of industry-specific regulations.
- Strong knowledge of relevant regulations, including SFA, FATCA, CRS, and other key compliance frameworks.
- Ability to manage regional stakeholders and communicate effectively to drive strategic objectives.
This role offers a unique opportunity to work in a fast-paced, dynamic environment and contribute to the success of our organization. If you are a motivated and detail-oriented individual with a passion for compliance and risk management, we encourage you to apply.
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