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Compliance Analyst
About this role
A Compliance Analyst is sought to help develop, implement, and monitor the company’s compliance framework. The role involves ensuring business activities meet applicable laws, regulatory requirements, industry standards, and internal policies, and working with business units to identify and mitigate compliance risks. The position also supports regulatory reporting, conducts reviews and risk assessments, and promotes a culture of compliance across the organisation. The role requires monitoring SEC and exchange rules, overseeing AML/CFT/KYC processes, and providing guidance to business units on regulatory matters.
What you would do
- Monitor activities to ensure compliance with SEC regulations, stock exchange rules and other laws.
- Conduct periodic compliance reviews and risk assessments across functions.
- Ensure timely implementation of regulatory circulars and updates.
- Review internal policies for regulatory alignment and best practices.
- Track breaches, recommend corrective actions, and monitor remediation.
- Monitor client transactions and trading for market abuse or regulatory violations.
- Perform compliance checks on trade executions and account activities.
- Ensure AML/CFT/KYC compliance.
- Review client onboarding and perform due diligence checks.
- Prepare and submit periodic compliance and regulatory reports to authorities.
What they are asking for
- Bachelor’s degree in Law, Finance, Accounting, Economics, Business Administration or related field.
- Master’s degree is an added advantage.
- Must be SEC Sponsored.
- 3–5 years of relevant compliance experience in stockbroking or securities trading environment.
- Experience in regulatory compliance, surveillance, AML/CFT monitoring, and regulatory reporting.
- Certifications such as ACS/ACAMS/ICA/CRCM or similar compliance qualifications.
- Strong knowledge of SEC rules, capital market regulations, and stock exchange requirements.
- Excellent understanding of AML/CFT regulations and KYC standards.
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