1. Ensure the implementation of an effective Compliance Monitoring programme, Compliance manual, AML and Sanctions programs, systems and controls in compliance with applicable regulations.
2. Review KYC/AML documents for new clients and activate accounts on the brokerage system. Ensure that their documentation is complete.
3. Monitor all trading orders to ensure that they are taken according to the market rules and review errors and breaches.
4. 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. Monitor customers’ transactional behaviour to ensure early detection of suspicious or unusual activity.
5. Assist in developing and maintaining all relevant policies and procedures based upon regulatory requirements, industry practices and established internal controls.
6. Assist in identifying potential areas of compliance vulnerability and risk, and developing and implementing corrective action plans for resolution of problematic issues.
7. Provide reports to relevant parties on a regular basis in conjunction with the Compliance Monitoring Program.
8. Handle clients’ complaints and escalate to higher levels, if needed, for further action.
9. Respond to all regulatory inquiries and act as the firm’s liaison with regulators.
10. Keep abreast of new regulations and communicate them to employees.
11. Ensure all employees comply with the firm’s staff trading policy and other polices released by the Group and/or the Brokerage division.

Job requirements:

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