Compliance Officer

HAITONG•New York, NY

About The Position

The Compliance Officer will assist with the monitoring and administration of the Firm’s Compliance and AML programs to ensure accordance with regulatory requirements.

Requirements

Knowledge of Compliance and AML programs
Experience with Code of Ethics and Code of Business Conduct
Experience with staff personal dealing accounts, restricted lists, and trade pre-clearance
Experience with staff compliance training & certifications
Experience monitoring outside business activities
Experience with KYC & AML review of customer accounts
Experience with broker-dealer licensing and registrations
Experience processing U4/U5 submissions and amendments
Experience with timely and accurate filing of regulatory reports for the broker-dealer
Ability to evaluate the adequacy and effectiveness of policies, procedures and internal controls
Ability to investigate compliance issues and report findings
Ability to perform general compliance and AML related functions
Ability to participate in compliance related projects, complete internal filings and reports, and any ad hoc requests
Ability to run required reports in a timely manner i.e. FINRA Reports, OFAC Reports, FinCen Reporting, etc.
Commitment to professional growth and development through seminars, workshops and professional affiliations

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.