New York, New York, United States · On-site
We are always looking for talented professionals to join us in the path towards success. SUMMARY The Compliance Officer will assist with the monitoring and administration of the Firm’s Compliance and AML programs to ensu…
Skills: Compliance Monitoring, AML Programs, KYC Review, Regulatory Reporting, Broker-Dealer Licensing
New York, New York, United States • On-site
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The Compliance Officer monitors and administers the firm's Compliance and AML programs to ensure regulatory adherence. Key duties include conducting KYC reviews, managing broker-dealer registrations, and filing regulatory reports.
The candidate must be able to evaluate internal controls and investigate compliance issues. Professional growth through seminars and affiliations is expected to stay current with broker-dealer regulations.
We are always looking for talented professionals to join us in the path towards success.
The Compliance Officer will assist with the monitoring and administration of the Firm’s Compliance and AML programs to ensure accordance with regulatory requirements.
Assist with the administration of the Firm’s Code of Ethics and Code of Business Conduct, including but not limited to the review & maintenance of staff personal dealing accounts, including related documentation, restricted lists, and trade pre-clearance, management of staff compliance training & certifications, and monitoring outside business activities.
KYC & AML review of customer accounts upon new account opening and periodically as necessary
Assist with broker-dealer licensing and registrations including processing U4/U5 submissions and amendments.
Assist in ensuring the timely and accurate filing of regulatory reports for the broker-dealer.
Help evaluate the adequacy and effectiveness of policies, procedures and internal controls.
Investigate compliance issues as needed and report findings back to Compliance and senior management.
Perform general compliance and AML related functions as instructed
articipate in compliance related projects, complete internal filings and reports, and any ad hoc requests
Run required reports in a timely manner i.e. FINRA Reports, OFAC Reports, FinCen Reporting, etc.
Maintain professional growth and development through seminars, workshops and professional affiliations to keep abreast of the latest developments in broker-dealer related compliance areas.
海通國際證券集團有限公司(「海通國際」)
Haitong International Securities Group Limited, is an international financial institution with established presence in Hong Kong and a rapidly expanding network across the globe. It strives to serve as a bridge linking up the Chinese and overseas capital markets. The parent company of Haitong International is Guotai Haitong Securities Co., Ltd.("Guotai Haitong Securities", Stock Code :601211.SH; 2611.HK).
Offices: 28/F One International Finance Centre, No.1 Harbour View Street, Central, HK
海通國際證券集團有限公司(「海通國際」)
Haitong International Securities Group Limited, is an international financial institution with established presence in Hong Kong and a rapidly expanding network across the globe. It strives to serve as a bridge linking up the Chinese and overseas capital markets. The parent company of Haitong International is Guotai Haitong Securities Co., Ltd.("Guotai Haitong Securities", Stock Code :601211.SH; 2611.HK).
Offices: 28/F One International Finance Centre, No.1 Harbour View Street, Central, HK
