Compliance & AML Specialist | KYC, Reports & Ethics

Haitong International Securities Group; New York (NY); On-site; USD 60,000 - 90,000; Full time

Job summary

Haitong International Securities Group is seeking a Compliance Officer to oversee the administration of the firm’s Compliance and Anti-Money Laundering (AML) programs. The role involves assisting in compliance monitoring, regulatory reporting, and managing staff compliance training.

The ideal candidate will have experience in compliance and AML regulations, KYC reviews, and knowledge of broker-dealer licensing. This position offers opportunities for professional development and growth.

Qualifications

• Experience with compliance monitoring and administration.
• Understanding of AML regulations and ethical conduct in finance.
• Ability to conduct KYC reviews and regulatory reporting.

Responsibilities

• Assist in the administration of the Firm’s Compliance and AML programs.
• Conduct KYC & AML reviews upon new account openings.
• Assist in ensuring timely filing of regulatory reports.

Skills

Compliance and AML programs

KYC

Regulatory reporting

Broker-dealer licensing

Job description

Haitong International Securities Group is seeking a Compliance Officer to oversee the administration of the firm’s Compliance and Anti-Money Laundering (AML) programs. The role involves assisting in compliance monitoring, regulatory reporting, and managing staff compliance training.

The ideal candidate will have experience in compliance and AML regulations, KYC reviews, and knowledge of broker-dealer licensing. This position offers opportunities for professional development and growth.