Compliance Surveillance Sr Analyst

The senior compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Surveillance Regulatory Inquiries team is responsible for timely and accurately responding to markets/trading-based regulatory inquiries issued by regulators across the Asia North and South clusters that may be indicative of violations of regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team will also be responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. This position will also assume an active leadership role in the build-out of the team’s workflow process, including a metrics-producing platform for those regulatory inquiries that fall under the team’s remit.