Compliance Analyst

Job Description :

The Compliance Group is seeking a detail-oriented, analytical Quantitative Compliance Analyst to bridge front-office trading desk operations with global regulatory compliance. In this role, you will perform deep-dive quantitative and qualitative research on the firm's positions and regulatory obligations across multiple asset classes and international jurisdictions.

By deploying advanced data analytics, statistical modeling, clustering techniques, and business intelligence tools (such as Power BI and SQL), you will build predictive compliance controls, perform multi-jurisdictional position reporting, monitor expert network interactions to prevent Material Non-Public Information (MNPI) violations, and safeguard the firm's operational integrity.

Key Responsibilities :

Front Office Trading Desk Advisory & Regulatory Research :

i. Conduct quantitative research on the firm's trading positions and applicable regulatory requirements across multiple asset classes (Equities, Fixed Income, Derivatives) across international markets.

ii. Act as a key liaison for front-office trading desks, providing real-time compliance analytical support and regulatory position interpretations.

Quantitative Analytics & Controls :

i. Build, deploy, and maintain data visualization dashboards (Power BI) and analytics models using statistical analysis, predictive modeling, and clustering techniques.

ii. Design and implement quantitative surveillance controls to monitor market risk, threshold limits, and trade patterns.

Global Regulatory Position Reporting :

i. Perform complex quantitative and qualitative analyses for mandatory regulatory filings across US, UK, EU, and Japan jurisdictions.

ii. Manage regulatory disclosures including Short Position Reporting, Long Ownership Disclosures, Substantial Shareholding notifications, and regulatory threshold limits.

MNPI & Expert Network Surveillance :

i. Analyze fundamental research data gathered by trading groups during engagements with external industry experts and consultants.

ii. Enforce robust Information Barrier controls and conduct surveillance to identify and prevent potential trading while in possession of Material Non-Public Information (MNPI).

Regulatory Engineering & Strategic Projects :

i. Assist in long-term compliance engineering projects to ensure high standards of governance across existing and newly emerging global regulations.

ii. Continuously refine data pipelines, control monitoring logic, and automated reporting frameworks.

Candidate Profile & Qualifications :

Basic Qualifications :

Education : Master's degree in Finance (e.g., M.Sc. Finance, MBA in Finance, MS Finance, Financial Engineering, or related quantitative finance discipline).

Experience : 0 to 2 years of professional work experience within financial services, investment banking, asset management, or regulatory compliance analytics.

Mindset : Self-motivated, results-oriented, with high learning agility, sharp analytical skills, meticulous attention to detail, and the ability to meet tight regulatory deadlines under high pressure.

Communication : Outstanding oral and written communication skills with strong interpersonal capabilities to present findings clearly to traders and senior leadership.

Technical & Functional Competencies :

- Data Visualization & Analytics : Advanced Power BI, SQL, statistical analysis, and predictive modeling. Exposure to Python or R for data analysis/clustering is a strong plus.

- Domain Expertise : Understanding of global capital markets, trade surveillance concepts, short selling regulations, substantial shareholding rules, and information barrier controls.

- Tooling : Advanced Excel (data modeling, logical functions, complex lookups) and relational databases.