Compliance Analyst

The Compliance Analyst conducts day-to-day monitoring, triage, and execution of electronic communications surveillance across email, chat, messaging platforms, and digital communication channels. Working within established procedures and SLAs, this role executes high-volume alert processing, identifies potential risk indicators, and escalates non-standard cases. This role reports to the Director of Anti-Bribery, Corruption & Conduct and supports the team by leveraging AI-assisted tools and ensuring high precision in daily surveillance operations.

 

• Execute Primary Triage: Perform daily review and triage of e-communications alerts across email, chat, text, and messaging channels within target SLA timelines.
• Identify Risk Indicators: Apply foundational compliance and regulatory guidelines to detect potential policy breaches, misconduct, or operational risk indicators.
• Maintain Audit-Ready Records: Execute precise data entry and case logging to ensure complete, compliant documentation for audit trails.

• Mandarin Language Proficiency: Fluent in Mandarin (written and spoken) to support regional, cross-border, and multi-lingual e-communications surveillance across global team channels.
• AI & Technical Aptitude: Hands-on experience working with AI-driven compliance tools, large language models (LLMs), or automated workflow tools to enhance daily analytical tasks.
• Mindset & Drive: Strong curiosity and an inherent drive to continuously refine processes, automate repetitive tasks, and elevate overall team performance.
• Analytical Skills: Strong attention to detail with the ability to synthesize unstructured text data, spot nuances, and present concise findings.
• Education / Experience: BA/BS in Finance, Law, Business Administration, or a related field (or equivalent practical experience).

• Prior exposure to specialized e-communications surveillance software (e.g., Smarsh, Behavox, Relativity) or lexicon/keyword monitoring tools.
• Understanding of market abuse indicators, insider trading, or conduct risk concepts within financial services or digital assets.
• Background in crypto, digital assets, Web3, or multi-lingual operational support.