Senior Compliance Officer

Role overview

This position focuses on supporting oversight of brokerage trading activity and employee conduct to help ensure compliance with applicable local and international laws and regulations, anti-money laundering and sanctions requirements, and internal EFG policies such as PEP, Sanctions, AML Group and Segment, and Staff Dealing policies.

Key responsibilities

• Examine KYC and AML documentation for newly onboarded clients, confirm that records are complete, and enable account activation within the brokerage platform.
• Track trading orders to verify that they are processed in line with market rules, and review any errors or policy breaches that arise.
• Carry out AML screening, including initial and ongoing checks for sanctions and adverse media against applicable local and international sanctions lists, while also monitoring client transactions to spot unusual or suspicious patterns early.
• Prepare and share regular reports with relevant stakeholders to support the Compliance Monitoring Program and the AML and Sanctions Programs.
• Make sure recommendations from internal audit, external audit, and regulators are implemented on time, and support management in following up and closing all open actions.
• Respond to regulatory queries and serve as the organization’s point of contact with regulatory bodies.
• Address client complaints and escalate matters when additional review or action is required.

Requirements

• A bachelor’s degree in any discipline is required.
• Relevant compliance experience of 5 to 7 years within a financial institution.
• Understanding of industry standards and regulatory expectations will be an advantage.
• Strong analytical ability and sound critical thinking.
• Competent with Microsoft Office applications, including Word, Excel, and PowerPoint.
• Clear written, verbal, and listening communication skills.
• Ability to collaborate effectively and develop productive working relationships.
• Comfortable identifying issues and escalating complex matters appropriately.
• High attention to detail with a consistent focus on quality deliverables.
• Able to remain effective under pressure.
• Strong at juggling multiple tasks, adjusting to shifting deadlines, and prioritizing several concurrent projects.
• Self-driven and able to maintain a positive outlook.

Additional information

Applicants should note that only candidates shortlisted for interview will receive a direct response because of the volume of interest received.