Mandarin Compliance Surveillance Analyst

• Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team
• Reviewing and analyzing surveillance alerts and/or reports relating to firm, employee and client trading activity
• Properly documenting the review and disposition of exceptions
• Escalating matters appropriately
• Gathering and analyzing trade data to assist in the Firm's response to inquiries from governmental and exchange regulatory bodies
• Evaluating surveillance results for potential problems
• Communicating surveillance findings to management
• Interacting with legal and other compliance personnel
• Responding to inquiries or requests from internal partners
• Assisting with the design and implementation of new surveillances
• Refining existing surveillances
• Handling telephone hotlines
• Performing data entry

• Proficiency in Mandarin, Cantonese, Tagalog and English
• Excellent written and verbal communication skills
• Must be a self-starter, flexible, innovative and adaptive
• Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• Proven project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Knowledge of Compliance laws, rules, regulations, risks and typologies
• Some knowledge in area of focus
• Bachelor's degree
• Experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof

Advanced degree preferred

• Access to telehealth options, health advocates, confidential counseling
• Expanded Paid Parental Leave Policy
• Financial well-being programs
• Learning and development resources
• Generous paid time off packages
• Volunteer programs