Compliance and AML Compliance Officer assistant

UGM Securities Ltd

Key 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. Other compliance and AML related matters

Requirements :
– Excellent verbal and written communication skills in English.
– A strong sense of responsibility
– Excellent computer literacy (confident user of MS Office).
– Ability to think outside the box and strong common sense and rationale, superb problem solving, analytical, and technical skills
– Ability to control stress and pressure
– Strong team player
– Experience in a CIF’s operations department would be an advantage
– Bachelor Degree (Business, Finance, Management, Law)

If you are interested in this position, feel free to send your CV to [email protected]

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

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