Compliance Analyst Surveillance

Our APAC Compliance team works closely with our Trading and Technology teams in order to manage the regulatory risks of our trading activities across multiple jurisdictions, particularly in the Asia-Pacific region. As a Compliance Analyst at IMC, you will assist with our day-to-day compliance operations, monitoring and review functions, and key compliance initiatives. Your role will cover many different aspects of IMC’s compliance program, requiring you to work with people across all areas of the business.

Your Core Responsibilities: 

Your responsibilities will include, but not be limited to:

• Joining a highly skilled and experienced team of Compliance professionals to drive IMC’s regulatory vision and compliance efforts across the region.
• Promoting IMC’s Compliance culture, awareness of regulatory developments, and best practices within the business.
• Monitoring and investigating market surveillance alerts and electronic communications to identify potential market abuse risks
• Contributing to enhancing pre- and post-trade controls (and our surveillance platforms).
• Contributing to the design of alerts, writing specifications, and ensuring documentation remains clear and up to date.
• Monitoring and reviewing applicable laws, rules and regulations to identify new compliance requirements.
• Assisting with regulator and exchange communication in relation to notifications and reports, inquiries, and investigations.
• Communicating with Brokers and Exchanges in relation to trader registration and documentation, and keeping up to date records. 
• Developing and maintaining written policies and procedures, training presentations, and associated materials.
• Conducting periodic reviews of internal compliance with policies and procedures, and reporting of the results to management.
• Conducting necessary tasks for IMC’s AML procedures.
• Communicating with regional compliance teams on global issues and projects.

Your Skills and 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 (eg. 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.
• Willing to learn and take responsibility for required tasks and projects.
• Knowledge of Japanese or Mandarin is a plus.

About Us

IMC is a global trading firm powered by a cutting-edge research environment and a world-class technology backbone. Since 1989, we’ve been a stabilizing 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. From entering dynamic new markets to embracing disruptive technologies, and from developing an innovative research environment to diversifying our trading strategies, we dare to continuously innovate and collaborate to succeed.