Compliance Officer

Role Overview

Support the Brokerage division by overseeing its trading activities and employee actions to guarantee compliance with relevant local and international regulations, anti-money laundering (AML) and sanctions programs, as well as EFG Holding's internal policies including PEP, Sanctions, AML Group and Segment, and Staff Dealing policies.

Key Duties

• Evaluate KYC/AML documentation for new brokerage clients to confirm completeness and activate their accounts within the brokerage platform.
• Surveil trading orders to ensure adherence to market regulations and address any errors or breaches found.
• Execute AML measures such as initial and ongoing sanctions and adverse media screenings against local and international sanctions lists for all clients; monitor transactional activities to spot unusual or suspicious behaviors promptly.
• Generate and submit regular reports to appropriate stakeholders to maintain compliance with Monitoring, AML, and Sanctions programs.
• Manage client complaints related to compliance issues and escalate unresolved matters to senior management when necessary.
• Ensure full compliance with all relevant AML and Counter-Terrorism Financing (CTF) laws throughout job functions.
• Complete all assigned AML/CTF training supplied by the Group within specified timelines.
• Respond promptly to AML, CTF, and sanctions-related inquiries as they arise.

Qualifications and Skills

• Bachelor’s degree in any discipline is required.
• Experience ranging from zero up to two years in compliance within financial institutions is expected.
• Familiarity with industry compliance standards and applicable regulations is advantageous.
• Strong analytical and critical thinking capabilities.
• Proficient in Microsoft Office applications including Word, Excel, and PowerPoint.
• Excellent communication skills across written, verbal, and listening formats.
• Ability to establish cooperative working relationships and collaborate effectively in teams.
• Competent at recognizing problems and escalating complex issues appropriately.
• High attention to detail and commitment to delivering quality outcomes.
• Capacity to operate under pressure and manage multiple priorities simultaneously.
• Self-driven with a positive and proactive attitude.

Additional Information

Interested candidates should be aware that due to the volume of applications received, only those shortlisted for interviews will be contacted.