Compliance Associate with Leading MNC Broking company

Hiring for Leading MNC Broking Firm

from 4 to 9 year(s) of Experience

Job Description

Job Description and Responsibilities
  • Responsible for in-depth review of details of new and existing customers and their activities pertaining to accounts.
  • Monitor customer details and their transactions in order to identify potential high risk or money laundering activity.
  • Responsible for conducting regular due diligence and enhanced due diligence on existing and prospective customers.
  • Assist for creating and implementing policies and procedures related to the firm€™s enhanced due diligence program.
  • Coordinate and assist global compliance teams for their compliance and AML functions.
  • Review and draft Suspicious Activity Reports.
  • Perform global research on customers and customer associate entities through inhouse or third party research tools.
  • Understand how money laundering schemes work and apply knowledge in identifying potential cases needing further investigation. Generate and maintain appropriate case documentation.
  • Communicate with appropriate group staff member to obtain additional customer information and/or requesting necessary updates to customer records.
  • Perform transaction analysis for of potential High Risk customers regarding their volume, frequency, beneficiaries/originators, involvement with High Risk and OFAC countries, etc.

Required Qualification and Skills
  • Bachelor's degree or higher with a major or concentration in Finance, Economics, Accounting, or Information Systems, etc.
  • Minimum 4 years' experience handling AML and/or EDD issues at a regulator, industry association, law firm, consulting firm, an investment advisory firm, or another broker-dealer or FCM are preferred.
  • Understanding of how technology is applied to business and regulatory issues.
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
  • Ability to work in a small-team environment, work independently, and multi-task with minimal supervision.
  • Excellent writing and oral communication skills.
  • Proven ability to manage projects and work independently to bring projects to completion in a fast-paced environment.
  • AML certification such as ACAMS, CFE, CFCS is a plus.
  • Good knowledge and experience of office tools like MS Outlook, MS Word, MS Excel etc.

Salary: Not Disclosed by Recruiter

Industry:Banking / Financial Services / Broking

Functional Area:ITES, BPO, KPO, LPO, Customer Service, Operations

Role Category:Voice

Role:Assistant Manager/Manager -(NonTechnical)

Key Skills

Desired Candidate Profile

Please refer to the Job description above

Company Profile

RiverForest Connections Private Limited

A MNC which conducts its broker business on over 120 market destinations.The company provides direct access trade execution and clearing services to institutional and professional traders worldwide
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Recruiter Name:Mansi Jani / Deepa Sood

Contact Company:RiverForest Connections Private Limited