Senior Compliance Officer

About the role

The Senior Compliance Officer will support the Brokerage division by monitoring trading activities and ensuring compliance with local and international regulations, AML, and sanctions programs. You will act as a key liaison with regulators and internal audit teams, helping to safeguard the firm’s reputation and operational integrity.

Key responsibilities

• Review KYC/AML documentation for new clients and activate brokerage accounts.
• Monitor trading orders for market rule adherence and investigate errors or breaches.
• Conduct AML checks, including sanctions and adverse media screening against relevant lists.
• Analyze customer transaction behavior to detect suspicious activity early.
• Prepare regular compliance, AML, and sanctions reports for relevant stakeholders.
• Implement audit recommendations and track corrective actions.
• Manage regulatory inquiries and act as the firm’s point of contact with regulators.
• Handle client complaints and escalate when necessary.

Required profile

• Bachelor’s degree in a relevant discipline.
• 5‑7 years of compliance experience within a financial institution.
• Strong knowledge of industry standards and regulations.
• Excellent analytical, critical thinking, and communication skills.
• Detail‑oriented, able to work under pressure and meet changing deadlines.

Required skills

• Microsoft Word
• Microsoft Excel
• Microsoft PowerPoint