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Compliance Officer (EDD)

icon building Company : Morgan Mckinley
icon briefcase Job Type : Full Time
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Job Description - Compliance Officer (EDD)

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.
Requirements
  • 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.


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