Compliance Officer

Full-time Finance

Purpose

Assist in monitoring the trading activities of the Brokerage division and its employees to ensure adherence to the relevant local and international rules and regulations, AML and Sanctions programs and EFG Polices (PEP Policy, Sanctions Policy, AML Group and Segment Policy, Staff Dealing Policy, etc.).

Responsibilities

1. Review KYC/AML documents for new clients. Ensure their documentation is complete and activate accounts on the brokerage system.
2. Monitor all trading orders to ensure they are taken according to the market rules, and review errors and breaches.
3. 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. Monitor customers’ transactional behavior to ensure early detection of suspicious or unusual activity.
4. Provide reports to the relevant parties on a regular basis to ensur...