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Compliance Associate

You Might be the Right Person If...

  • Are interested or have prior experience of the legal and compliance subject matter, especially within a financial services setting
  • Are passionate about delivering first class customer service
  • Have excellent focus and high level of attention to detail
  • Have an inquisitive mind
  • Are a team player who works well within a collaborative environment
  • Can work quickly and can handle large volumes of data and text

Specifically You Will...

  • Screen electronic communications quickly and effectively using client-developed guidelines on market abuse
  • Identify and escalate potential instances of market abuse
  • Participate in the 2nd line review of cases that may potentially be escalated to the client
  • Participate in the internal Quality Assurance process
  • Liaise with client teams on escalated cases, as necessary

Skills for Success

  • Basic familiarity with regulation surrounding electronic communication surveillance
  • Basic familiarity with FINRA regulations and their application to financial services clients
  • Fluency in English as a Foreign Language (High score in TOEFL test >90)
  • High level of attention to detail
  • Strong problem solving skills
  • Strong analytical and decision-making skills
  • We would be particularly interested in candidates who have additional language skills - Thai, Cantonese / Mandarin, Spanish

Technical Skills

  • Computer literate with good MS office skills.
  • Expertise in compliance and trade monitoring software (such as HP Supervisor or Digital Reasoning Synthesys) - preferred.
  • Solid understanding of Investment Banking, Key Financial Terms and Compliance.


  • 2 to 4 years’ experience in eCommunications, trade surveillance, market abuse or compliance in a financial services firm.
  • Previous experience working in a high volume environment, preferably focusing on targeted monitoring, quality assurance/control in similar setting.


  • Bachelor degree required.
  • Series 7 - preferred.


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