16 Compliance Legal jobs

EGM Securities Ltd     Overall Purpose of Role: Onboard clients for EGM Securities Ltd; both natural and legal/ in line with the Company's Customer Due Diligence Manual while ensuring compliance with all relevant laws and regulations   Responsibilities/Accountabilities: Ensuring that all persons onboarded as clients for the Company; both natural and legal persons, meet the criteria set out under the Company's Customer Due Diligence Manual, the Proceeds of Crime and Anti-Money Laundering Regulations, 2013, Guidelines on the Prevention of Money Laundering in the Capital Markets 2015, Prevention of Terrorism Regulations, 2013 and all other relevant internal and/or external policies and directives issued from time to time; Ensuring that all persons onboarded as clients for the Company; both natural and legal persons, provide all relevant identification documents as...

Code:  4 -  Posted: Sept. 21, 2021 Job Location:  Nicosia, Cyprus Reports to:  Head of Risk & Compliance Division/Department:  Risk & Compliance Key Responsibilities: Provide support for the implementation of the customer acceptance policy of the Company, including performance of the “know your client” CDD and client transaction monitoring procedures established by the Company; Monitor clients’ trading activities from AML/CFT and Sanctions perspective, and preparing, where a suspicion is triggered, internal suspicious report(s) for assessment by the Head of the Department; Perform sanctions monitoring and control procedures; Monitor all communications with clients and counterparties in relation to Compliance matters; Monitor partners’, introducing brokers and sales’ activities, if applicable;  Perform the functions of clients’ assets safeguarding officer; Provide...

Company Description By joining Swissquote, you will become a member of the of the sector's leading company. You will be encouraged to develop your skills and to grow within teams of highly qualified specialists. We encourage personal development and actively support creative teamwork, leadership and responsibility. Job Description Review of client’s account opening requests (e.g institutional clients, corporate structures, trusts, foundations, collective investment schemes) from an AML/CTF (AMLA, AMLO-FINMA, CDB) Review of tax compliance aspects such as FATCA and CRS (automatic exchange of information) Participation in the Group AML consolidated supervision Participation in reviews of key clients Drafting internal memos and procedures Involvement in key regulatory projects Preparing and giving internal training courses Support and advice to the Front line and management Qualifications...

Compliance Specialist Code:  1   Posted: Aug. 24, 2021 Job Location:  Nicosia, Cyprus Reports to:  Head of Risk & Compliance Division/Department:  Risk & Compliance Key Responsibilities: Monitor the activities of the Company to ensure compliance with laws, regulations, directives and circulars issued by CySEC and EU; Monitor clients’ and employees’ trading activities from Market Abuse perspective; Perform ad-hoc reviews of regulatory reporting; Perform the functions of FATCA/CRS officer; Updating the policies and procedures of the Company in order to be compliant with the applicable regulatory framework as amended from time to time; Handle ad-hock tasks as assigned by the Head of Risk & Compliance. Requirements: University or postgraduate degree or other equivalent qualification in a field related to economics or finance, including banking and finance, or business...

We are currently looking for a full-time Compliance Officer ​who will join our Group’s Compliance team in Limassol, Cyprus.  The Compliance Officer shall be supporting the compliance efforts of the Group and reporting directly to the Senior Compliance Officer.   Responsibilities: Draft and revise policies and procedures and prepare reports; Audit existing processes, identify weaknesses and suggest corrective actions; Evaluate new business ideas, assess risks and give opinions; Review regulatory requirements, assess the impact on operations and update monitoring program; Ensure ongoing compliance and collaborate with relevant parties to meet reporting obligations;  Maintain up to date compliance records (e.g. documents, logs, correspondence, reports, etc.); Investigate new licensing opportunities and assist in the preparation of new applications; Keep abreast of internal procedures and global CFDs and...

We are looking for a Legal Counsel with a focus on Corporate Law to be based in our sunny office in Limassol, Cyprus   The Legal Counsel role will strengthen the support provided by the Legal Department to the various departments in Exness. The role will focus on the administration of the Exness group of companies (registered in various jurisdictions), revision/drafting/negotiation of agreements and advising on related corporate and business matters.   We are looking for a lawyer with experience in Corporate Law, including administration of companies,  who is commercially oriented and eager to learn and understand our business and the services Exness provides.   Responsibilities: Incorporation and maintenance of companies in various jurisdictions Liaising with external lawyers, agents and service providers for the administration of Group companies Preparation and revision of corporate and other legal documentation and reviewing and...

Company Description Founded by  two engineers , Swissquote makes  trading  opportunities accessible to everyone and we challenge everything that makes traditional banking irrelevant. Join our  130 software developers  to challenge the code and bring your expertise on cutting-edge  Fintech projects  such as eTrading, eForex, Robo-advisory, cryptocurrencies and more. Our Tech stack is  100% Cobol free ! See: Java, Spring, Hibernate, JavaScript, TypeScript, React, Docker, Kubernetes... and we always try to find the best tools for the right needs. Have a look at our  Tech Blog ! As an always-evolving company, we strive to challenge our organization, making teamwork and innovation more than just values. You will be able to accelerate your career in a  fast-moving  and  rock-solid  company: during these last couple of years, our bank has become the  Swiss leader in online...

Exness is looking for a multiple Key Account Specialist to be part of the business development team. As a Key Account Specialist, you are expected to help Business Development Manager increase the number of Exness customers, increase their lifetime with us and increase the value of these customers to Exness. The Key Account Specialist is responsible to assist the commercial team to build and manage a profitable portfolio of Exness business partners and/or premier accounts for the assigned region/country by acquiring new, growing and retaining existing partners by:   Be the primary point of contact between the respective customers and Exness; Be able to respond and resolve customer issues out of working hour; Develop a deep understanding of their respective markets, competitive analysis and clients activities; Assist Key Account Manager to formulate market development strategies for growth; Build a pipeline of new potential partners;...

  Location : Uruguay   Employment Type: Remote working Exness is looking for a Key Account Specialist to be part of the business development team to help Business Development Manager increase the number of Exness customers, increase their lifetime with us and increase the value of these customers to Exness. The Key Account Specialist is responsible to assist the commercial team to build and manage a profitable portfolio of Exness business partners and/or premier accounts for the assigned region/country by acquiring new, growing and retaining existing partners by:   Be the primary point of contact between the respective customers and Exness; Be able to respond and resolve customer issues out of working hour; Develop a deep understanding of their respective markets, competitive analysis and clients activities; Assist Key Account Manager to formulate market development strategies for growth; Build a pipeline of...

Location: Singapore / Brunei  Employment Type: Remote working Exness is looking for a Key Account Manager to build a profitable portfolio of Exness retail business by acquiring new, grow and retain existing Partners. The goal of the Key Account Manager is to increase the number of Exness Partners, increase their lifetime with us and increase the value to Exness. Job Responsibilities: Be the primary point of contact between the respective partners and Exness. Develop a deep understanding of their respective markets, competitive analysis and partner business activities. Formulate market development strategies for growth. Build a pipeline of new potential partners. Ensure compliance and adherence to Exness business, regulatory and brand guidelines. Manage existing partner relationships and coordinate issue resolution. Participate in related industry and partner events.   Key Requirements:...

Location: Singapore / Brunei  Employment Type: Remote working Exness is looking for a Key Account Manager to build a profitable portfolio of Exness retail business by acquiring new, grow and retain existing Partners. The goal of the Key Account Manager is to increase the number of Exness Partners, increase their lifetime with us and increase the value to Exness.   Job Responsibilities: Be the primary point of contact between the respective partners and Exness. Develop a deep understanding of their respective markets, competitive analysis and partner business activities. Formulate market development strategies for growth. Build a pipeline of new potential partners. Ensure compliance and adherence to Exness business, regulatory and brand guidelines. Manage existing partner relationships and coordinate issue resolution. Participate in related industry and partner events.   Key Requirements:...

Location: Cambodia / Laos Employment Type: Remote working Exness is looking for a Key Account Manager to build a profitable portfolio of Exness retail business by acquiring new, grow and retain existing Partners. The goal of the Key Account Manager is to increase the number of Exness Partners, increase their lifetime with us and increase the value to Exness.   Job Responsibilities: Be the primary point of contact between the respective partners and Exness. Develop a deep understanding of their respective markets, competitive analysis and partner business activities. Formulate market development strategies for growth. Build a pipeline of new potential partners. Ensure compliance and adherence to Exness business, regulatory and brand guidelines. Manage existing partner relationships and coordinate issue resolution. Participate in related industry and partner events. Key Requirements: Associate degree...

Exness Group was founded in 2008 and is a dynamic, fast moving organization that specialises in providing services for trading in the financial markets. Today Exness is rapidly growing, we are 1000+ represented by more than 70 nationalities, continuously expanding our existing teams and creating new ones. Our culture allows each employee to be the best version of themselves, constantly increasing their expertise. Some of our key values are Ethics & integrity + Smart scientific approach (by creating our own scientific and algorithmic-led product)!   We are looking for an Anti Financial Crime Officer to be based in our sunny office in Limassol, Cyprus.   This role is part of the Anti Financial Crime department, reporting directly to Head of AFC.   Anti Financial Crime officer is responsible for payment processing, transaction monitoring, fraud prevention, and identification/verification of suspicious clients. The purpose of the role...

Full-time · Mid-Senior level   At ACY Securities we offer our clients state of the art trading technology and educational resources that are suitable for both beginners and experienced traders.    This is an exceptional opportunity for a compliance professional to take the next step forward in their career. Working closely with the CEO and CRO of the company, you will have the unique opportunity to establish the Compliance function for the organisation.   Your Main Responsibilities:   Support regulatory applications, maintain current regulatory licenses & compliance risk analysis; Approval of compliance manuals, policies and procedures; Coordinate review of existing, new and proposed regulations that are relevant to the firm and communicate to the appropriate business lines Serve as primary contact person for the competent authorities, Provide advice, recommendation and respond to ad hoc queries...

Corporate Counsel Business Operations · Cambridge, Massachusetts     Come join oneZero Financial Systems! An exciting, fast-growing company with Headquarters in Cambridge MA, oneZero empowers banks, brokerages, and hedge funds with cutting-edge trade routing and execution technology. Our platform, deployed with 200+ entities globally, features a low-latency trading environment, integrations to the world’s leading execution venues, and reliable IT infrastructure and technical support—all designed to be customized and scaled to serve any business model and any size of market participant. We take pride in our great work atmosphere and highly motivated team.   oneZero is proud to have been named one of Business Intelligence Group's Best Places to Work 2021:  https://www.bintelligence.com/blog/2021/3/11/20-companies-named-2021-best-places-to-work   Please see oneZero featured in e-Forex Magazine to learn more...

  MATCH PRIME LIQUIDITY Head of Compliance / AML Officer (Dual Role)   Job Responsibilities Attending meetings with the Company’s management; Providing assistance to clients in order to maintain and update the internal policies to be in line with regulatory requirements; Providing assistance to clients for the monitoring and assessment of the correct and effective implementation of policies; Providing assistance in reviewing the Company’s policies and procedures; Prepare the Annual Compliance and AML Compliance reports; Providing assistance to clients for any ad-hoc regulatory requirements; Providing assistance to clients in implementing the relevant statutory updates/changes to all the clients; Providing assistance to clients in order to timely meet their reporting requirements; Providing support and guidance to the departments of our Company...