Compliance Analyst

Trade Nation; Kuala Lumpur; On-site; MYR 45,000 - 78,000; Full time

Job summary

Trade Nation, based in Kuala Lumpur, seeks a Junior Compliance Analyst to join the Central Compliance Team. You will support the CMP, AML controls, and transaction monitoring, coordinating with stakeholders to ensure regulatory compliance and strengthen the firm’s compliance framework.

You’ll gain exposure to multiple regulatory environments and financial crime disciplines while contributing to surveillance, reporting, and policy maintenance in a collaborative, high‑performing team.

Qualifications

• 1–3 years' experience in a compliance, financial crime, or regulatory role within a regulated firm.
• Strong attention to detail with ability to handle multiple workstreams and meet deadlines.
• Clear and professional written and verbal communication skills.
• Proactive, collaborative mindset and genuine enthusiasm for compliance.

Responsibilities

• Support design, execution, and documentation of compliance monitoring reviews across regulated jurisdictions.
• Assist with scheduling, tracking, and closing out monitoring actions with accurate findings.
• Help prepare monitoring reports and MI for senior stakeholders.
• Conduct AML/CTF and KYC/CDD reviews and assist with transaction monitoring investigations.
• Contribute to maintenance of AML policies, procedures, and risk assessments.
• Review alerts from the trade surveillance system (E-Flow) and document investigations with rationale.
• Maintain compliance registers, logs, and tracking tools; support internal and regulatory reporting.

Skills

Attention to detail

Communication

Collaboration

Proactive mindset

Education

Progress towards compliance/financial crime qualification

Tools

E-Flow

Job description

The Junior Compliance Analyst will be part of the Central Compliance Team, supporting all of Trade Nation's regulated entities. This role is responsible for assisting with the day-to-day execution of the Compliance Monitoring Programme (CMP), Compliance Surveillance activities, Anti-Money Laundering (AML) controls, and transaction monitoring processes. The successful candidate will work closely with various stakeholders to help ensure regulatory compliance, identify potential risks, and support the effectiveness of the firm's compliance framework.

This position offers broad exposure to multiple regulatory environments, jurisdictions, and financial crime disciplines, making it an excellent opportunity for individuals looking to build a strong foundation in compliance within a collaborative and high-performing team.

Requirements

Compliance Monitoring Programme

• Support the design, execution, and documentation of compliance monitoring reviews and thematic testing across all regulated jurisdictions
• Assist with scheduling, tracking, and closing out monitoring actions, ensuring findings are recorded accurately and escalated appropriately
• Help prepare monitoring reports and management information (MI) for senior stakeholders

AML, Financial Crime & Transaction Monitoring

• Conduct AML/CTF and KYC/CDD reviews, supporting the identification and escalation of financial crime risks
• Assist with the review and investigation of transaction monitoring alerts, contributing to timely and well-reasoned disposals
• Support the maintenance and refresh of AML-related policies, procedures, and risk assessments

Compliance Surveillance

• Review and clear Compliance Surveillance alerts generated by the firm's trade surveillance system (E-Flow), conducting timely, well-documented investigations and escalating alerts with potential market abuse indicators in accordance with the firm's procedures
• Maintain accurate alert disposition records, ensuring outcomes are logged with sufficient rationale to support audit trails and regulatory scrutiny
• Support the preparation and delivery of Compliance Surveillance MI, including alert volumes, false positive rates, escalation metrics, and trend analysis, for reporting to senior management and relevant governance committees
• Assist in the maintenance and periodic review of Compliance Surveillance procedures, escalation frameworks, and the firm's Market Abuse Risk Assessment (MARA), ensuring documentation remains current and fit for purpose
• Contribute to periodic calibration and tuning reviews of surveillance alert parameters, helping to identify opportunities to reduce false positives and improve overall detection effectiveness.

Central Compliance Support

• Act as a point of coordination for Compliance Heads across jurisdictions, managing information requests, evidence gathering, and regulatory correspondence
• Maintain accurate and up-to-date compliance registers, logs, and tracking tools
• Support internal and regulatory reporting cycles, including the preparation of MI packs and audit‑ready documentation
• Keep abreast of relevant regulatory developments and assist in assessing the impact of rule changes on the business

Essential

• 1-3 years' experience in a compliance, financial crime, or regulatory role within a regulated or equivalent firm
• Strong attention to detail with the ability to handle multiple workstreams, meet deadlines, and produce high‑quality written work
• Clear and professional communication skills, both written and verbal
• A proactive, collaborative mindset and genuine enthusiasm for the compliance profession

Desirable

• Exposure to retail investment services, particularly CFDs, spread betting, or leveraged products
• Working knowledge of core compliance frameworks, AML/CTF obligations, and financial crime risk management
• Familiarity with KYC/CDD processes and the practical application of a risk‑based approach
• Experience supporting a Compliance Monitoring Programme or internal audit/testing function
• Understanding of transaction monitoring systems and alert investigation workflows
• Familiarity with trade or Compliance Surveillance systems and experience reviewing alerts for potential market abuse indicators in a CFD or similar trading environment
• Progress towards a recognised compliance or financial crime qualification
• Familiarity with multi‑jurisdictional regulatory environments