Analyst/Associate, Specialist Business Compliance, Group Legal, Compliance & Secretariat

Responsibilities

• Perform trade surveillance monitoring for Global Financial Markets (GFM) using automated trade surveillance system and internal reports to identify potential market abuse or misconduct and ensure adherence to applicable regulatory and internal compliance requirements.
• Perform communications review for GFM by reviewing alerts in automated communication surveillance system (ECRUISE), conduct voice monitoring and sampling review etc.
• Ensure timely and effective review of alerts generated by surveillance systems and internal reports.
• Review and manage surveillance exceptions and prepare reports to management.
• Investigate, document and close surveillance alerts thoroughly and within required timelines, ensuring that significant issues are fully investigated and promptly escalated (e.g. UAE/STR) where necessary.
• Ensure surveillance monitoring procedures and parameters are appropriately maintained and updated to reflect changes in business activities and market conditions.

• Undertake Control Room responsibilities, including maintaining and reviewing restricted and watch lists, managing wall-crossing and information barrier procedures, providing pre-trade and transactional guidance on conflicts and handling of MNPI, and escalating potential breaches in a timely manner.
• Liaise and work closely with Middle Office Technology team and external vendors to enhance existing processes and develop new or automated systems and monitoring tools.

• Participate in system and process implementation activities, including user acceptance testing (UAT) and business integration.

• Design, build and deploy agentic AI tools (e.g., workflow assistants, alert triage and investigation copilots) to drive operational efficiency, streamline end-to-end surveillance and control room processes and enhance controls governance.

Requirements

• Bachelor’s degree in Accountancy, Finance, or a related discipline.
• 2-3 years of relevant experience in trade surveillance, communications surveillance, compliance monitoring, control room operations, or a related risk or surveillance function within a financial institution.

• Strong understanding of market conduct, market abuse risks, and the role of surveillance and controls within financial markets.

• Strong interest in automated surveillance systems, alert reviews, or communications monitoring.

• Strong analytical skills, attention to detail, and ability to manage multiple priorities under time‑sensitive conditions.
• Ability to work collaboratively with team members across compliance, business, and technology functions.

• Good written and verbal communication skills, with the ability to document observations and present findings clearly.

• Interest in process improvement, automation, or emerging technologies (e.g. data analytics or AI) is an advantage.
• Knowledge or practical experience in applying data analytics, automation, or AI‑enabled tools to improve surveillance efficiency and effectiveness is an advantage.

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