The Compliance Analyst will support the Compliance team in monitoring transactions and communications within the company. This role involves assisting in the delivery of key compliance services and ensuring that monitoring functions are performed effectively and in compliance with regulations.Key Responsibilities
Support the compliance monitoring process under the guidance of senior team members to track and review employee and client activities.
Perform transaction monitoring using an automated surveillance system, including reviewing and investigating alerts, evaluating issues, and escalating concerns to management.
Respond to requests from regulatory bodies, exchanges, and clients.
Engage with clients, brokers, and internal teams to investigate and clarify concerns professionally.
Prepare detailed reports outlining monitoring results, findings, and actions taken to mitigate risks.
Stay up-to-date with the company’s business and regulatory landscape.
Foster positive relationships with all stakeholders.
Assist with maintaining regulatory registrations and compliance records.
Contribute to daily compliance tasks & Ad Hoc.
Take ownership ensuring that they are completed professionally and within appropriate time frames.
Maintain an understanding of processes and procedures related to the role.
Experience & Skills Required
Minimum of 5 years of relevant experience in compliance, preferably in a brokerage environment.