Compliance Analyst - Financial Services/Capital Market - Contractual

Role Overview:

We are looking for a detail-oriented Compliance Analyst to support compliance and risk-related activities within financial markets operations. The role involves monitoring regulatory compliance, reviewing trading and securities-related activities, supporting risk controls, and ensuring adherence to internal policies and external regulations across APAC markets. The candidate will work closely with operations, risk, and compliance stakeholders in a fast-paced global environment.

Key Responsibilities:
Compliance & Risk Monitoring:

• Support day-to-day compliance monitoring activities related to financial instruments including stocks, public trading securities, and ETF products.

• Assist in identifying, reviewing, and escalating potential compliance or risk issues in line with internal policies and regulatory requirements.

• Perform reviews and checks on trading-related activities to ensure adherence to compliance standards.

Regulatory & Control Support:

• Support implementation and ongoing monitoring of compliance controls across financial operations.

• Assist in maintaining documentation, logs, and trackers related to compliance reviews, risk observations, and corrective actions.

- Ensure activities align with regional requirements, with exposure to APAC market compliance frameworks.

Operational & Analytical Support:

• Work closely with operations teams to understand workflows and identify potential compliance or risk gaps.

• Analyze data and reports using advanced Excel skills to support compliance assessments and operational reviews.

- Prepare summaries, reports, and dashboards for internal stakeholders.

Stakeholder Coordination:

• Collaborate with internal teams including operations, risk, and compliance to support ongoing projects and reviews.

• Communicate observations, findings, and follow-ups clearly and effectively.

• Support multiple assignments simultaneously while meeting defined timelines in a global project environment.

Required Skills & Experience:

• 1-5 years of experience as a Compliance Analyst or in risk, compliance, or financial operations roles.

• Exposure to financial markets, including stocks, public trading securities, and ETF products.

• Strong understanding of risk and compliance concepts within the financial industry.

• Prior operations background within financial services is advantageous.

• Experience or exposure to APAC markets is preferred.

• Strong proficiency in MS Excel for data analysis and reporting.

• Excellent attention to detail, analytical thinking, and problem-solving skills.

• Ability to multitask, prioritize, and deliver within tight timelines.

- Strong written and verbal communication skills.