Compliance Analyst - Trade Surveillance (APAC)

Fluency in English (both written and spoken) is essential

Relevant direct financial market experience at a financial services regulatory agency, exchange or licensed brokerage/trading firm

Familiarity with exchange rules, rules governing trading conduct

Good product knowledge and understanding of the markets

Prior trade monitoring and surveillance experience

Solid academic background with relevant qualifications

Have a "can-do" attitude and willingness to learn.

Good organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment

Experience in dealing with exchange and regulatory enquiries

A high degree of comfort and fluency with computers and technology, an understanding of how technology is applied to business and regulatory problems or an ability to develop this rapidly

Ability to work in a small team environment

Ability to multi-task, prioritize and work with minimal supervision

Prior experience with Smarts broker or equivalent trade monitoring software

Chinese language ability (written and/or spoken in Mandarin or Cantonese) is beneficial

Competitive Salary, annual performance-based bonus and stock grant

Excellent health and welfare benefits including medical, dental, specialist and in-patient

Competitive package of Annual Leave

Daily lunch ordered in house with fully stocked kitchen

Great work life balance

Unique opportunity to gain exposure to global financial products, markets and clientele

Opportunities for career progression and job scope expansion in a global company with growing local presence

Citizenship requirements depend on the candidate and the role's jurisdiction

Company Benefits

ResponsibilitiesReporting to the Regional Head of Surveillance, the role involves:

Conducting trade monitoring and surveillance

Reviewing and providing suggestions to enhance the existing trade surveillance system/reports

Manage projects to build and implement approved enhancements and changes required due to regulatory changes

Crafting written instructions for programmers and technology staff

Assisting in handling trading inquiries from regulators and exchanges in the region, primarily Australia and Hong Kong

Assisting in drafting and implementing firm policies and written supervisory procedures

Developing and implementing remedial action plans in response to internal and external audit findings

Hybrid work arrangement role permitting

Good quantitative, analytical and problem-solving skills