Compliance-APAC - Analyst - Trade Surveillance
Core
Conduct trade monitoring and surveillance, manage system enhancements for regulatory compliance, and handle regulatory inquiries in the APAC region.
Role type
Analyst, Trade Surveillance
Builds
Trade surveillance system enhancements and regulatory reporting
Domain
Financial Services / Trade Surveillance
Required skills
quantitative analysis, problem-solving, trade monitoring, regulatory rule familiarity, market product knowledge, project management, policy drafting, audit remediation planning, technology fluency
Preferred skills
Smarts broker experience, Chinese language ability
Technologies
Smarts broker
Responsibilities
Conduct trade monitoring and surveillance; Review and suggest enhancements to trade surveillance systems; Manage projects for regulatory change implementation; Assist in handling trading inquiries from regulators and exchanges; Assist in drafting firm policies and supervisory procedures; Develop remedial action plans for audit findings