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HAITONG INTERNATIONAL SECURITIES GROUP LIMITED logo

Compliance Officer

HAITONG INTERNATIONAL SECURITIES GROUP LIMITEDNew York, NY
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Overview

Schedule
Full-time
Career level
Senior-level
Remote
On-site
Benefits
Career Development

Job Description

We are always looking for talented professionals to join us in the path towards success.

SUMMARY

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

PRIMARY FUNCTIONS AND ESSENTIAL 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

  • articipate 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.

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FAQs About Compliance Officer Jobs at HAITONG INTERNATIONAL SECURITIES GROUP LIMITED

What is the work location for this position at HAITONG INTERNATIONAL SECURITIES GROUP LIMITED?
This job at HAITONG INTERNATIONAL SECURITIES GROUP LIMITED is located in New York, NY, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.
What pay range can candidates expect for this role at HAITONG INTERNATIONAL SECURITIES GROUP LIMITED?
Employer has not shared pay details for this role.
What employment applies to this position at HAITONG INTERNATIONAL SECURITIES GROUP LIMITED?
HAITONG INTERNATIONAL SECURITIES GROUP LIMITED lists this role as a Full-time position.
What experience level is required for this role at HAITONG INTERNATIONAL SECURITIES GROUP LIMITED?
HAITONG INTERNATIONAL SECURITIES GROUP LIMITED is looking for a candidate with "Senior-level" experience level.
What benefits are offered by HAITONG INTERNATIONAL SECURITIES GROUP LIMITED for this role?
HAITONG INTERNATIONAL SECURITIES GROUP LIMITED offers Career Development for this position. Actual benefits may vary depending on the employer's policies and employment terms.
What is the process to apply for this position at HAITONG INTERNATIONAL SECURITIES GROUP LIMITED?
You can apply for this role at HAITONG INTERNATIONAL SECURITIES GROUP LIMITED either through Sonara's automated application system, which helps you submit applications 10X faster with minimal effort, or by applying manually using the direct link on the job page.