Compliance Analyst (Projects & Control Room)

About the Position

We’re looking for a responsible Compliance Analyst to help ensure our colleagues in the Asia offices are satisfying local, APAC, and international laws and regulations. This will involve regulatory filings, trade surveillance, monitoring tasks, and overseeing control room function activities to keep things compliant in a time-sensitive environment.

The regulatory landscape of our industry is complex and always evolving. You’ll help us review and interpret new rules, educate colleagues on changes, and update firm policies and procedures. This will require strong people skills and the ability to explain processes clearly to individuals in various departments across the firm.

Our Legal and Compliance team is a dedicated group of analysts who share a passion for protecting our colleagues as they focus on their daily work. Our Asia offices have grown substantially over the past few years. You will help us make sure our trading activity and operations continue to grow responsibly with it.

About You

• Undergraduate degree in finance, quantitative finance, risk, or related studies
• 3-5 years of relevant experience in the financial services industry; experience in compliance control room functions is a plus
• Deep knowledge and understanding of local APAC regulations for securities dealers operating a global model
• Strong Excel skills and experience working with large sets of data
• Reliable and courteous team player with great communication skills
• Organized with exceptional attention to detail; can work proactively to solve problems and prioritize tasks in a fast-paced environment
• Eager to learn; able to grow from mistakes and accept feedback
• VBA/SQL/Python/Linux skills and familiarity with surveillance products such as SMARTS Broker and Actimize are a plus
• Ability to speak Japanese, Mandarin, or Korean is a plus
• Fluency in English is required