Compliance Analyst Surveillance

IMCs APAC Compliance team works closely with our Trading and Technology teams in order to manage the regulatory risks of our trading activities across multiple jurisdictions particularly in the Asia-Pacific region. As a Compliance Analyst at IMC you will assist with our day-to-day monitoring and review functions compliance operations and key compliance initiatives. Your role will provide you with exposure to many different aspects of IMCs compliance program requiring you to work with stakeholders across all areas of the business.

Your Core Responsibilities:

Your responsibilities will include but not be limited to:

• Joining a highly skilled and experienced team of Compliance professionals to drive IMCs regulatory vision and compliance efforts across the region.
• Promoting IMCs Compliance culture awareness of regulatory developments and best practices within the business.
• Monitoring and investigating market surveillance alerts and electronic communications to identify potential risks irregularities and breaches of market conduct.
• Contributing to enhancing pre- and post-trade controls (and our surveillance platforms).
• Contributing to the design of alerts writing specifications and ensuring documentation remains clear and up to date.
• Monitoring and reviewing applicable laws rules and regulations to identify new compliance requirements.
• Assisting with regulator and exchange communication in relation to notifications and reports inquiries and investigations.
• Communicating with Brokers and Exchanges in relation to trader registration and documentation and keeping up to date records.
• Developing and maintaining written policies and procedures training presentations and associated materials.
• Support compliance operations by conducting periodic reviews of internal compliance with policies and procedures and conducting necessary tasks for IMCs AML procedures
• Collaborating with regional compliance teams on global issues and projects.

Your Skills and Experience:

• 2 to 4 years of experience in financial markets compliance at a Trading Firm Broker Regulator Exchange or similar role.
• Degree qualified in Finance Business Law or a related discipline.
• Experience in trade surveillance and market abuse detection is essential.
• Familiarity with trade surveillance systems whether in-house tools or third-party platforms is highly regarded.
• Understanding of proprietary trading and market making business models is an advantage.
• Understanding of how to utilise programming and/or database querying (eg. Python SQL) is an advantage.
• Strong attention to detail and analytical/problem solving skills.
• Strong interpersonal organisational and time management skills.
• Ability to work both independently and in teams.
• Ability to communicate complex ideas or concepts clearly.
• Willing to learn and take responsibility for required tasks and projects.
• Knowledge of Japanese or Mandarin is a plus.