Compliance Analyst – IMC Trading
IMC's APAC Compliance team works closely with our Trading and Technology teams to manage regulatory risks associated with trading activities across multiple jurisdictions, particularly in the Asia-Pacific region. As a Compliance Analyst at IMC, you will assist with day-to-day monitoring and review functions, compliance operations, and key compliance initiatives, providing exposure to many different aspects of IMC's compliance program while working with stakeholders across the business.
Core Responsibilities
Join a highly skilled and experienced team of Compliance professionals to drive IMC's regulatory vision and compliance efforts across the region.
Promote IMC's Compliance culture, awareness of regulatory developments, and best practices within the business.
Monitor and investigate market surveillance alerts and electronic communications to identify potential risks, irregularities and breaches of market conduct.
Contribute to enhancing pre- and post-trade controls (and our surveillance platforms).
Contribute to the design of alerts, write specifications, and ensure documentation remains clear and up to date.
Monitor and review applicable laws, rules and regulations to identify new compliance requirements.
Assist with regulator and exchange communication in relation to notifications and reports, inquiries, and investigations.
Communicate with Brokers and Exchanges in relation to trader registration and documentation, and keep up to date records.
Develop and maintain written policies and procedures, training presentations, and associated materials.
Support compliance operations by conducting periodic reviews of internal compliance with policies and procedures, and conduct necessary tasks for IMC's AML procedures.
Collaborate with regional compliance teams on global issues and projects.
Skills & Experience
2 to 4 years of experience in financial markets compliance at a Trading Firm, Broker, Regulator, Exchange, or similar role.
Degree qualified in Finance, Business, Law, or a related discipline.
Experience in trade surveillance and market abuse detection is essential.
Familiarity with trade surveillance systems, whether in-house tools or third-party platforms is highly regarded.
Understanding of proprietary trading and market making business models is an advantage.
Understanding of how to utilise programming and / or database querying (e.g., Python, SQL) is an advantage.
Strong attention to detail and analytical / problem-solving skills.
Strong interpersonal, organisational, and time-management skills.
Ability to work both independently and in teams.
Ability to communicate complex ideas or concepts clearly.
Willingness to learn and take responsibility for required tasks and projects.
Knowledge of Japanese or Mandarin is a plus.
About Us
Since we've been a stabilising force in financial markets, providing essential liquidity upon which market participants depend. Across our offices in the US, Europe, Asia Pacific, and India, our talented quant researchers, engineers, traders, and business operations professionals are united by our uniquely collaborative, high-performance culture, and our commitment to giving back.
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