Compliance Analyst

Job Summary

• The Compliance Analyst will support the development, implementation, and monitoring of the firm's compliance framework, ensuring that business activities are conducted in accordance with applicable laws, regulatory requirements, industry standards, and internal policies.
• The successful candidate will work closely with business units and management to identify and mitigate compliance risks, monitor regulatory obligations, support regulatory reporting, and promote a strong culture of compliance across the organisation.

Key Responsibilities

• Monitor the firm's activities to ensure compliance with SEC regulations, stock exchange rules, and other applicable laws.
• Conduct periodic compliance reviews and risk assessments across business functions.
• Ensure timely implementation of regulatory circulars, directives, and updates.
• Review internal policies and procedures to ensure alignment with regulatory requirements and industry best practices.
• Track compliance breaches, recommend corrective actions, and monitor remediation efforts.
• Monitor client transactions and trading activities for potential market abuse, insider trading, market manipulation, or other regulatory violations.
• Conduct compliance checks on trade executions and account activities.
• Ensure compliance with Anti-Money Laundering (AML), Combating the Financing of Terrorism (CFT), and Know Your Customer (KYC) requirements.
• Review client onboarding documentation and perform customer due diligence checks.
• Prepare and submit periodic compliance and regulatory reports to the SEC, stock exchange, and other relevant authorities.
• Maintain regulatory compliance registers, filings, and documentation.
• Provide compliance guidance and support to business units on regulatory matters.
• Assist in developing and delivering compliance awareness and training programs.
• Maintain accurate compliance records, monitoring logs, incident reports, and regulatory correspondence.
• Ensure proper documentation and retention of compliance-related activities.

Education Qualification and Experience Requirements

• Bachelor's Degree in Law, Finance, Accounting, Economics, Business Administration, or a related discipline.
• A Master's degree is an added advantage.
• Must be SEC Sponsored
• Minimum of 3-5 years' relevant compliance experience within a stockbroking, securities trading environment.
• Demonstrated experience in regulatory compliance, surveillance, AML/CFT monitoring, and regulatory reporting.
• Associate, Chartered Institute of Stockbrokers (ACS)/Authorized Dealing Clerk qualification(ACAMS), ICA, CRCM, or other compliance-related certifications.
• Strong knowledge of SEC rules, capital market regulations, and stock exchange requirements.
• Excellent understanding of AML/CFT regulations and KYC standards.