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Compliance Analyst

You Might be the Right Person If...

  • Are passionate about delivering first class customer service
  • Have excellent focus and high level of attention to detail
  • Have an inquisitive mind
  • Are interested or have prior experience of the legal and compliance subject matter, especially within a financial services setting
  • 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
  • Work with client teams to ensure the efficient escalation of relevant cases

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
  • Strong analytical and decision-making skills 
  • Basic familiarity with FCA regulations and its application to financial services clients

Technical Skills

  • Computer literate with good MS office skills
  • Expertise in compliance and trade monitoring software (such as HP Autonomy, 
  • HP Surveillance)

Experience

  • 1-3 years experience in eCommunications, trade surveillance, market abuse or compliance in a financial services firm
  • Experience or interest in eCommunications Surveillance, trade surveillance, market abuse or compliance within a financial services setting

Qualifications

  • Bachelor degree required.
     
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