Compliance Analyst

About This Role

This role involves the day-to-day monitoring, triage, and execution of electronic communications surveillance across various digital channels. The Compliance Analyst will process high-volume alerts, identify potential risk indicators, and escalate non-standard cases, leveraging AI-assisted tools to ensure high precision in daily operations.

Responsibilities

• Perform daily review and triage of e-communications alerts across email, chat, text, and messaging channels within target SLA timelines
• Apply foundational compliance and regulatory guidelines to detect potential policy breaches, misconduct, or operational risk indicators
• Execute precise data entry and case logging to ensure complete, compliant documentation for audit trails
• Conduct initial background gathering and evidence collection on flagged communications to support case evaluations
• Prepare structured, fact-based summaries outlining key findings for non-standard alerts requiring upper-level review
• Promptly escalate ambiguous, high-risk, or complex matters to senior analysts and leadership
• Consistently hit daily output targets (KPIs) while maintaining strong precision in case evaluations
• Utilize AI-assisted surveillance platforms, prompt engineering, and automated workflow enhancements to streamline alert review and triage quality
• Identify recurring false positives and operational bottlenecks, providing feedback to help refine alert parameters and ML/AI model accuracy
• Bring strong intellectual curiosity and a proactive mindset to continuously challenge existing surveillance workflows, proposing innovative ways to improve operational efficiency
• Actively participate in ongoing training to build technical expertise across crypto regulations, market conduct rules, and emerging compliance technologies

Requirements

• Fluent in Mandarin (written and spoken) to support regional, cross-border, and multi-lingual e-communications surveillance across global team channels
• Hands-on experience working with AI-driven compliance tools, large language models (LLMs), or automated workflow tools to enhance daily analytical tasks
• Strong curiosity and an inherent drive to continuously refine processes, automate repetitive tasks, and elevate overall team performance
• Strong attention to detail with the ability to synthesize unstructured text data, spot nuances, and present concise findings
• BA/BS in Finance, Law, Business Administration, or a related field (or equivalent practical experience)

Nice to have:

• Prior exposure to specialized e-communications surveillance software (e.g., Smarsh, Behavox, Relativity) or lexicon/keyword monitoring tools
• Understanding of market abuse indicators, insider trading, or conduct risk concepts within financial services or digital assets