Senior AML Compliance Officer
|Location||Auckland, New Zealand|
|Date Posted||April 29, 2020|
|Send Resume firstname.lastname@example.org|
Senior AML Compliance Officer Tiger Brokers (NZ) Limited location Auckland.
About us TIGER BROKERS (NZ) LIMITED is a Tiger Brokers company, a renowned Nasdaq listed financial technology (Fintech) venture headquartered in Beijing, China (NASDAQ: TIGR), with branches in several jurisdictions including New Zealand, Australia, Hong Kong, USA, and Singapore. We have a comprehensive Fintech background to offer a suite of multi-asset class capabilities which includes equities trading, access to primary market listings and hedge fund offerings.
We thrive on excellence Wall Street China awarded the company as the “Annual Outstanding Fintech Company” in 2017. KPMG rated the company as one of China’s Top 50 Leading Fintech firms for two years in a row in 2016/2017. HKEX awarded the company as “Innovative Fintech Company of the Year” in 2017. CB Insights awarded the company as "2017 Fintech 250".
Tiger Brokers, a strategic partner with NASDAQ, is backed by prominent conglomerates including Xiaomi Corporation (HKEX: 1810) and Interactive Brokers Group (NASDAQ: IBKR). We are a supportive, energetic team offering competitive remuneration and full-suite professional development. 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 and TSE.
This opportunity we are seeking an experienced Senior AML Compliance Officer to play a key role in managing our Anti-Money Laundering compliance programme.
Main responsibilities maintain a structured and systematic AMLCFT 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 AMLCFT 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 AMLCFT Programme Framework, and where weaknesses or risks are identified, work with Management Group to ensure rectification procedures are in place, actively monitored and appropriately reported on. Analysing orders, trade and alert data to detect possible market misconduct and abuse.
You ideally you will bring experience with, and comprehensive knowledge of AMLCFT Compliance ideally gained within the capital markets / brokerage sector in New Zealand. Proven experience in AMLCFT Compliance with at least 5 years’ experience in 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.