Associate - Compliance - Brokerage

A leading US-based Brokerage firm is looking out for a Compliance Associate with regulatory compliance experience working for an exchange, a regulatory organization, a Broker-Dealer or similar organization to work for their Compliance Department.

Role : 

- Review client documents for account approvals and enquiries

- Obtain documents and reports as per KYC requirements

- Perform checks on 3rd parties and regulatory website

- Investigate factual and regulatory rule background behind client trading and financial activity

- Creating and reviewing surveillance reports of financial and trading activity

- Working on Anti-Money Laundering Program

- Updating policies and procedures and verifying their implementation

Requirements : 

- Graduate/PG degree in Accounting or Legal

- Experience in Enhanced Due Diligence (EDD), Politically Exposed Person (PEP) and Sanction Review is a must

- Knowledge of KYC compliance

- Experience in the financial industry is required