Compliance Surveillance Analyst

China Language Specialist PRF (Compliance)

Location: Shanghai, China | Experience: Mid Level (2–5 years)

About the Company

Our client is a leading global financial services firm serving corporations, governments, institutions, and individuals across investment banking, securities, wealth management, and investment management. With offices in more than 40 countries, the organization operates in a highly regulated environment and supports business activities approved by local regulators in the People’s Republic of China. The company is seeking talent that can help safeguard communications oversight and support strong compliance outcomes in a fast-moving international setting. This role sits within a broader financial services compliance context and offers exposure to surveillance, escalation, and quality review work that protects the integrity of client activity. The environment is dynamic, collaborative, and structured around accuracy, judgment, and responsiveness.

About the Role

The role owns targeted eCommunications surveillance across English, Mandarin, and Cantonese channels to identify potential market abuse, misconduct, and regulatory breaches. It works through disciplined review, case escalation, and quality assurance to protect compliance standards for a global investment banking client. The position is designed for someone who can operate quickly, apply policy consistently, and collaborate with compliance stakeholders to improve review accuracy and service quality. It also supports a long-term career path in Financial Services Compliance within an international setting, with emphasis on judgment, adaptability, and strong communication. The role requires immediate or near-immediate availability and a genuine interest in building recognized industry credentials over time.

Key Responsibilities

• Review email, instant messaging, Bloomberg, and audio call communications in English, Mandarin, and Cantonese to identify potential financial crime, market abuse, and conduct concerns, ensuring issues are surfaced before they become regulatory or reputational risk.
• Perform second-line reviews on flagged cases, applying customer guidance and internal policy to separate true concerns from false positives and create a reliable escalation pipeline for compliance teams.
• Raise Reasons for Concern to local Compliance contacts with clear supporting detail, helping teams act quickly and consistently on potential violations or suspicious patterns.
• Manage the internal Quality Assurance process so review outcomes remain accurate, auditable, and aligned to service expectations, reducing rework and improving oversight quality.
• Consult with customer teams on escalated cases to improve interpretation, strengthen screening quality, and support better control outcomes across the review workflow.
• Work with speed and discipline in a high-volume environment, balancing accuracy, prioritization, and responsiveness to protect both client trust and regulatory compliance.
• Maintain awareness of relevant compliance policies and procedures in investment banking, turning policy knowledge into practical review decisions that support strong control execution.

Essential Skills & Technologies

• Fluency in Mandarin, Cantonese, and English, both verbal and written, so communications can be reviewed accurately across languages without losing nuance or compliance context.
• Strong understanding of investment banking operations and related compliance policies, enabling sound judgment when identifying market abuse, misconduct, or code of conduct issues.
• Experience in financial services or a compliance program, with the ability to translate prior exposure into effective surveillance, escalation, and review decisions from day one.
• Skilled use of MS Office for documentation, tracking, reporting, and case support work, ensuring review output stays organized and easy to audit.
• Analytical, adaptive, and able to manage multiple priorities while maintaining quality, which is essential for screening large volumes of communications efficiently.
• Collaborative work style with strong ownership and work ethic, supporting productive coordination with compliance and customer teams in an international environment.
• Right to work in Mainland China and readiness to join immediately or within a short notice period, enabling a fast start and minimal onboarding delay.

Additional Plus

• Cantonese fluency is preferred and will be a strong advantage in day-to-day communications screening and case handling.
• Commitment to pursue a recognized industry qualification such as FINRA Securities Industry Essentials, which supports longer-term growth in the compliance function.
• Relevant academic major is a plus, especially when paired with practical experience in financial services oversight or regulatory review.

What You'll Bring

• A bachelor’s or master’s degree, with a relevant major preferred, providing a strong base for structured compliance review and policy interpretation.
• At least 2 years of experience in financial services or within a compliance program, giving you practical familiarity with regulated environments and control expectations.
• Clear judgment, a strong work ethic, and the ability to work as a team player while managing complex screening work and competing priorities.
• Genuine interest in building a career in investment banking compliance, with the discipline to learn quickly and grow through industry-recognized qualification pathways.