Assistant Compliance Officer

UGM Securities Ltd

Responsibilities:
1. Establishment of trading lines (counterparty relationships)
– KYC and Due Diligence procedure;
– Negative Lists screening (part. Sanctions Lists);
– Administration of document flow with counterparties;
– Filling up all required forms, questionnaires required for onboarding;
– Monitoring the validation of counterparties’ KYC Pack.

2. Execution of reporting obligations of CIFs
– Monthly Complaints Statement;
– Monthly Prevention Statement;
– Quarterly Statistics;
– Risk-based supervisory framework
– Annual AML Report;
– Annual Compliance Report;
– Etc (other obligations as specified by CySEC).

3. Onboarding of clients
– KYC & Due Diligence procedure;
– Negative Lists screening;
– Administration of document flow with counterparties;
– Monitoring of validation of clients’ KYC pack;
– Monitoring of transactions and activities.

4. Assisting Compliance and AML Compliance Officer in other compliance and AML related matters

Job requirements:
– Language: Fluent English (Russian is an advantage);
– Major: Business Administration, Finance, Financial Markets, Economics, Management, Law;
– Work Experience: not required;
– Seniority: last year students (preferably, bachelor degree), recent alumni

To apply send CV to [email protected]

To apply for this job email your details to info@ugm.com.cy