Compliance Analyst

at Tiger Brokers (NZ) Limited
Published February 12, 2024
Location Auckland, New Zealand
Category Other  
Job Type Full-time  


Compliance Analyst Tiger Brokers (NZ) Limited location Auckland.

About us Tiger Brokers, a New Zealand-based participant in global capital markets, is the New Zealand subsidiary of NASDAQ-listed UP Fintech Holdings Limited (NASDAQ: TIGR), a leading online securities brokerage focusing on global investors. Tiger Brokers New Zealand taps on the expertise and insights to help drive fintech innovation in Asia-Pacific, assisting global investors to achieve their investment goals.

Founded in 2014, Tiger Brokers became the number one US equities trading firm by volume, among trading platforms catered to global investors in less than two years. Tiger Brokers was awarded "2017 Fintech 250" by CB Insights and shortlisted for "China Leading Fintech 50" for two years in a row by KPMG China. HKEX awarded Tiger Brokers as “Innovative Fintech Company of the Year” in 2017.

Tiger Brokers as a multinational enterprise listed on NASDAQ has offices in the Greater China region, North America, Australia, New Zealand and Singapore. Tiger Brokers has over 1 million customers worldwide, with a total trading volume of more than US$200 billion in 2020. Tiger Brokers is backed by well-known conglomerates such as Xiaomi and Interactive Brokers.

Tiger Brokers is a supportive, energetic team offering an appealing remuneration package, full-suite professional development and exciting overseas travel opportunities to our global offices, with a full-flow top-tier business working environment. Take part in a growing business in the world of global capital markets and gain exposure to the world’s largest equities markets including NASDAQ, NYSE, HKEX, ASX, LSE and TSE.

This opportunity we are seeking an AML/CFT Compliance Analyst to play a key role in managing our AML/CFT compliance program.

Main responsibilities maintain a structured and systematic AML/CFT compliance framework to ensure the business is in compliance with relevant rules and regulations in New Zealand.

Liaising with internal and external stakeholders to obtain information about customers, including but not limited to AML/CFT investigations, Customer Due Diligence and Enhanced Due Diligence, and ad-hoc duties.

Notify the company and the Management Group of any material deviation from, or material breach of the company’s AML/CFT Programme Framework, and where weaknesses or risks are identified, work with the Management Group to ensure rectification procedures are in place, actively monitored and appropriately reported on. Analyzing orders, trade and alert data to detect possible market misconduct and abuse.

You ideally, you will bring experience with and comprehensive knowledge of AML/CFT Compliance ideally gained within the capital markets/brokerage sector in New Zealand. Proven experience in AML/CFT Compliance with at least one year of experience in the New Zealand financial industry.

Confident working on large-scale local as well as offshore projects where work and time pressure can be intense. Excellent self-management, interpersonal, presentation and communication skills as well as strong relationship management skills and the ability to interact with all stakeholders. A high degree of accuracy and attention to detail and an unquestioned ability to manage confidentiality. Fluent in Chinese is a plus. Must be eligible to work in New Zealand with a valid working Visa.

Drop files here browse files ...