Compliance Officer

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

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 ensure accordance with regulatory requirements.

Primary Functions and Essential Responsibilities

• Assist in the administration of the Firm’s Compliance and AML programs.
• 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, participate 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.