Compliance Officer (EDD)

Our client is a foreign multinational brokerage firm with established business in the region.

Responsibilities

• Conduct ongoing EDD reviews for higher-risk clients, in line with established policies and procedures.
• Summarize EDD review outcomes clearly and concisely, with appropriate justifications.
• Perform risk assessments and escalate identified risks to management in a timely manner for next-step decisions.
• Manage client outreach and track review completion to ensure all scheduled requirements are met.
• Support management with FCC/EDD examinations, audits, projects, and other ad-hoc tasks as assigned.

Requirements

• Degree holder with 1-3 years of experience in financial industry with relevant experience in risk or compliance.
• Good knowledge of regional AML and regulations within the securities brokerage industry.
• ACAMS, AAMLP, CFE, CFCS, or other relevant certifications are a plus.
• Proficiency in English, Cantonese or Mandarin.