This position is responsible for reviewing reports, alerts and researching customer
information regarding accounts and transaction activity suspected of being related
to money laundering, and OFAC issues. Applicants must be analytical, detail oriented,
organized, and professional with the ability to conduct research and draw conclusions.
Education & Skills:
- Maintain and update anti-money laundering policies and procedures.
- Review daily activity reports displaying money and securities movements in client
accounts by discovering, escalating, resolving, and following up on issues.
- Investigate suspicious, money laundering or fraudulent activity. File suspicious
activity reports on illegal or suspicious activity.
- Perform detailed research and due diligence on the backgrounds of high risk customers
and prepares written memos.
- Create and maintain continuing education program on anti-money laundering and privacy
for all associates.
- Responsible for analyzing and monitoring various forms of potentially suspicious
transactions and customer activity to identify potential money laundering risks.
- Conducts other research projects, investigation and participates in department special
projects as requested.
- Bachelor's degree and 5 years of related work experience in financial industry.
AML investigation experience preferred.
- Strong verbal and written communication and interpersonal skills - ability to effectively
communicate and relate with employees at all levels. Bilingual ability is a plus
(English and Mandarin Chinese).
- Strong investigative skills.
- Knowledge of or the ability to learn anti-money laundering laws, rules and regulations.
- Proficient with technology including database queries and Microsoft Office products
with an emphasis on Excel and SQL. Beta experience strongly preferred.
- Strong aptitude for understanding and applying securities industry rules and regulations.
- Ability to work independently.
- Solid proven success in developing solutions to complex investigative issues.
- Ability of efficiently arrive at sound risk-based conclusions.
The Compliance Officer's role is to insure that all processes of regulation are
in accordance with the law. The officer must insure that management and employees
comply with all viable rules and regulations, that company policies and procedures
are followed, and that all employee behavior meets the company's and industry's
standards of conduct. This position requires strong experience in key areas of stock
market regulatory compliance, and the ability to establish and manage compliance
Education & Skills:
- Develop, initiate, maintain, and revise policies and procedures for the general
operation of the compliance program and its related activities to prevent illegal,
unethical, or improper conduct.
- Monitor and report results of the compliance/ethics efforts of the management; Provide
guidance matters relating to compliance.
- Analyze and communicate compliance-related laws, regulations, and standards; Identify,
assess and mitigate risks including establishing standards, procedures, and guidelines.
- Respond to alleged violations of rules, regulations, policies, and procedures by
evaluating or recommending the initiation of investigative procedures. Develop and
oversee a system for uniform handling of such violations.
- Monitor, and as necessary, coordinate compliance activities of other departments
to remain abreast of the status of all compliance activities.
- • Work with Human Resources and others as appropriate to develop an effective compliance
training program, including appropriate introductory training for new employees
as well as ongoing training for all employees and managers.
- Strong leadership, communication, and collaboration skills including the ability
to work effectively with others at all levels across the organization.
- Bachelor's Degree required, Master's Degree preferred.
- Current Series 7, Series 63, and Series 24 required.
- Fluent in both English and Mandarin Chinese.
- 10-15 years Compliance, Risk or Audit experience with at least 5 years in a leadership
role with a proven ability to engage with Executive. Management and regulators.
- Experience working within a large, complex financial service organization preferred.
- Strong working knowledge of the compliance risks associated with the Business /Finance/Economics
and service mix.
- Strong problem-solving skills. Prior experience working with regulatory agencies
including FINRA, SEC, OCC, FDIC or State agencies preferred.
- Certified Regulatory Compliance professional designation preferred.
The Investment Broker is responsible for answering customer inquiries regarding
margin rules and regulations, options strategies, order entry, and the trading platforms
in various mediums including phone, chat, e-mail, and social media.
Education & Skills:
- Provide excellent customer service to all customers and prospects via phone, e-mail
- Execute trades for customers via the phone in an accurate and professional manner.
- Research and resolve trade execution disputes.
- Provide assistance to customers regarding stock quotes and news account inquiries,
and technical guidance.
- Provide assistance to prospects regarding SogoTrade,Inc. services, available account
types, products, Website and trading platforms, and Branch Office information.
- Provide timely and professional responses to customer e-mail inquiries, and route
or escalate customer e-mails appropriately to Compliance, Risk Mgmt, Supervisor,
- Re-set passwords as requested by customers.
- Record lead information received by phone and e-mail into Compass.
- Assist with orientation and training of new Service Center Stockbrokers.
- Assist customers and answer any questions regarding sogotrade.com, including any
of the trading platforms.
- Work in detail with margin accounts, buying power calculations and account balances.
- Proactively promote the benefits of Sogotrade.com to prospects and customers.
- Bachelor's degree in Finance, Business, or related field, or equivalent combination
of education and experience preferred.
- Fluent in both English and Mandarin Chinese, Cantonese a plus.
- Current Series 7 and Series 63 license required.
- Clean U4 securities record.
- 1+ years customer service experience required.
- Excellent verbal and written communication skills.
- Excellent customer service skills.
- Ability to handle customer service issues in a professional manner.
- Excellent organizational skills and attention to detail.
- Ability to multiple tasks.
- Excellent computer skills including a proficient understanding of the internet.
- Basic math skills; ability to calculate commissions and perform margin calculations.
- Extensive knowledge of financial markets and other aspects of the brokerage industry.
- Ability to maintain a high degree of confidentiality.
- Proficiency with Microsoft Word, Excel, and Outlook.
Account Operation Internship
Job Location: St. Louis, MO Office
The Account Operation Intern is responsible for assisting customers with new account
opening and existing account maintenance. Interns must have availability to work
15-30 hours per week for a minimum of 2 consecutive semesters.
Education & Skills:
- Follow up on leads from potential customers, and missing application information.
- Establish and activate new accounts.
- Scan and file paperwork.
- Follow up on undeliverable emails and returned mails.
- Assist with processing fund deposits, withdrawals, and ACATS transfers.
- Maintain and update customers’ account information.
- Follow up on pending account transfers.
- Interact with clients over the phone.
- Creating digital copies of account documents.
- Distribute incoming mail.
- General administrative and operational duties.
- Other tasks as assigned.
- Must be currently enrolled as a full-time student attending a local University.
- Currently enrolled student with a business, finance, or economics field of study.
- One year of customer service or general office experience preferred.
- Must be detail-oriented.
- Good computer, data entry, and internet skills.
- Good verbal and oral communication skills.
- Good team work skills
- Hard working, resilient, resourceful, and motivated character.