Compliance Officer (EDD)

Morgan McKinley Hong Kong

Posted 1 month ago Permanent Competitive

Our client is a foreign multinational brokerage firm with established business in the region.

Responsibilities

Conduct ongoing EDD reviews for higher-risk clients, in line with established policies and procedures.
Summarize EDD review outcomes clearly and concisely, with appropriate justifications.
Perform risk assessments and escalate identified risks to management in a timely manner for next-step decisions.
Manage client outreach and track review completion to ensure all scheduled requirements are met.
Support management with FCC/EDD examinations, audits, projects, and other ad-hoc tasks as assigned.

Requirements

Degree holder with 1-3 years of experience in financial industry with relevant experience in risk or compliance.
Good knowledge of regional AML and regulations within the securities brokerage industry.
ACAMS, AAMLP, CFE, CFCS, or other relevant certifications are a plus.
Proficiency in English, Cantonese or Mandarin.

Job ID JN -062026-2004085

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ABOUT COMPANY

Morgan McKinley - Hong Kong

Hong Kong

48 Employees HR & Recruitment

Morgan McKinley has been successfully connecting talented candidates with career opportunities for over 30 years. It’s in our DNA to Go Beyond – above...

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