Job Function
Due Diligence, Compliance And/or Legal
Description
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.
- 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.
Job ID: 84832051