Compliance Analyst
Core
Conducts day-to-day monitoring, triage, and execution of electronic communications surveillance across email, chat, and messaging platforms to identify potential risk indicators and policy breaches.
Role type
Compliance Analyst (e-communications surveillance)
Builds
Audit-ready records and structured case notes for risk escalation
Domain
Financial services / Digital assets / Crypto regulations
Deliverable
production ML models
Required skills
Mandarin (fluent), AI-driven compliance tools, LLMs, automated workflow tools, analytical skills, attention to detail, case logging, risk detection
Preferred skills
e-communications surveillance software (Smarsh, Behavox, Relativity), market abuse indicators, insider trading concepts, crypto/Web3 background
Technologies
AI-assisted surveillance platforms, large language models (LLMs), automated workflow tools, Smarsh, Behavox, Relativity
Responsibilities
Perform daily review and triage of e-communications alerts within SLA timelines, Identify risk indicators by applying compliance guidelines, Execute precise data entry and case logging, Conduct initial background gathering and evidence collection, Draft clear case notes for non-standard alerts, Escalate ambiguous or high-risk matters to senior analysts
Seniority
Individual Contributor