About this role
Compliance Officer at Htisec. Location: New York, New York, United States. Role: administering compliance, conducting kyc, processing filings Requirements: Assist administration and monitoring of compliance and AML programs, perform KYC/AML reviews, manage staff compliance activities and broker-dealer licensing (U4/U5), prepare regulatory filings and reports (FINRA, OFAC, FinCEN), investigate issues. Category: Legal and Compliance Seniority: Mid Level Commitment: Full Time Workplace: Onsite Languages: English