Compliance Analyst

About the Role

As a Compliance Testing and Monitoring Specialist within the Core Monitoring and Testing team, you will assess the effectiveness of key controls, identify potential compliance risks, and support timely escalation and remediation. The Testing and Monitoring team provides independent, risk-based assurance over key processes, systems, and controls, working closely with business, operations, technology, and Compliance colleagues.

Key Responsibilities

• Carry out compliance surveillance and monitoring across trading, investment activity, and business conduct.
• Perform risk-based testing of trade execution, allocations, conflicts of interest, and related controls.
• Review exceptions, supporting evidence, and relevant market or transaction data; investigate potential control gaps and raise issues promptly.
• Monitor regulatory obligations, employee conduct requirements, communications, and the handling of confidential information.
• Maintain complete, accurate, and review-ready testing workpapers, findings, and management information.
• Collaborate with front-office, operations, technology, and Compliance colleagues to clarify issues and support remediation.
• Contribute ideas and practical support to the design, improvement, validation, and oversight of data-led and automated monitoring processes.
• Identify trends, emerging risks, and opportunities to strengthen the control environment.
• Support periodic compliance reviews and follow up on agreed actions.

Requirements & Tech Stack

• Excel and data-analysis capability.
• Experience with automation or technology-enabled controls is desirable.

Qualifications

• CA, CMA, CA Inter, or a relevant bachelor's degree in finance, accounting, or a related discipline.
• Relevant experience in compliance monitoring, investment compliance, trade surveillance, internal audit, risk, or financial-services operations.
• Comfort working independently under general supervision, with initiative and sound judgment.
• A collaborative approach and the ability to build strong working relationships across the business.
• Strong written and verbal communication skills, including the ability to prepare clear, accurate, and review-ready documentation.

Experience & Skills

• Experience in compliance monitoring, surveillance, internal audit, risk, or financial-services controls.
• Understanding of financial markets, investment products, and trade lifecycle processes.
• Strong analytical skills, including the ability to review large data sets and identify exceptions or unusual patterns.
• Confidence to exercise sound judgment, investigate issues, and communicate findings clearly.
• A strong sense of integrity, respect for confidentiality, and excellent organization and attention to detail.

How You Will Work

• Curiosity, analytical thinking, and a thoughtful approach to investigation.
• Sound judgment and professional skepticism.
• Care, accuracy, and attention to detail.
• Clear, respectful stakeholder management.
• The ability to work independently while contributing positively to a global team.
• A practical, continuous-improvement mindset.

Work Shift Timings: 2:00 PM - 11:00 PM