Compliance Officer

Overview

Department: Compliance

Compliance Staff

Provide assistance to the Chief Compliant Officer.

-Check FRB, NYDFS, OFAC, FinCEN website for regulation updates

-Run EDD reports every month.

-Prepare EDD summary report base on the reports from FGBS system.

-Check FGBS, Bridger Insight OFAC update, review alerts whenever there is new posting on the Office of Foreign Asset Control website, escalate to Compliance Officer if there is any positive hit for confirmation and report to OFAC.

-Check FGBS, Bridger Insight FinCEN update, review alerts wherever there is new FinCEN 314(a) record search request, escalate to Compliance Officer if there is any positive hit for confirmation and report to FinCEN 314(a).

-Prepare Compliance Committee Minutes

-Ensure all the monthly and quarterly compliance reports are finished on time by the responsible departments.

-Assist review of annual risk profile review performed by respective departments.

 

Job Order ID: 1232