Compliance Analyst

We are seeking an experienced and proactive Compliance Analyst to lead the day-to-day operations of the Transaction Monitoring function. This role is critical in ensuring timely review and resolution of alerts, maintaining robust compliance testing frameworks, and supporting regulatory obligations.

The role also includes conducting compliance testing and to support broader compliance initiatives including licensing projects and regulatory submissions.

Transaction Monitoring & Investigations

- Perform daily reviews of transaction monitoring alerts to identify potentially suspicious activity.

- Investigate and analyze alerts, ensuring timely disposition and documentation.

- Escalate cases for further review and assist in the preparation of Suspicious Transaction Reports (STRs).

- Support scenario tuning and threshold calibration of transaction monitoring systems.

Compliance Testing & Documentation Review

- Conduct periodic compliance testing across all regulatory compliance areas, including AML/CFT, CDD/KYC, market conduct, Representative Notification Framework (RNF) and licensing obligations, and transaction monitoring processes.

- Review documentation across all compliance domains to ensure completeness, accuracy, and alignment with internal policies and applicable regulatory requirements.

- Identify gaps or deficiencies in controls, documentation, and operational processes, and recommend appropriate corrective actions.

- Maintain comprehensive testing records and prepare reports for senior management, internal audit, and regulatory inspections.

Licensing & Regulatory Projects

- Support compliance-related licensing applications and renewals, including preparation of documentation and coordination with internal stakeholders.

- Assist in drafting and reviewing submissions under relevant regulatory frameworks

- Track regulatory obligations and ensure timely updates to internal compliance frameworks and taxonomies.

Policy, Training & Strategic Initiatives

- Assist in updating AML/CFT policies, procedures, and workflows.

- Monitor regulatory developments and industry best practices related to AML, CDD, and Capital Markets Services (CMS) licensing matters.

- Participate in cross-functional projects related to system upgrades, automation, and process improvements.

Requirements:

- Minimum 3 years of relevant experience in compliance testing, AML, or transaction monitoring within financial services or fintech.

- ICA Diploma / CAMS / CGSS certification will be advantageous