View Our Website View All Jobs

Compliance Analyst

Compliance Analyst

Help us shape the future.  Elevate is changing the way legal support services are delivered and we are looking for creative, innovative people who can help.  If you are a client-focused professional who wants your creative and innovative ideas to make a difference, Elevate's team of legal service experts could be the right fit for you.

As a Compliance Analyst your role involves assisting and conducting, internal advisor testing and surveillance activities, including Code of Ethics administration, outside business activity reporting, gifts and entertainment surveillance, pay-to-play political contribution reporting and personal securities trading activities of Access Persons.

You might be the right person if you:

  • Have good transition and project management abilities
  • Can write clearly and concisely, taking into consideration different audiences and attention spans
  • Like the sound of working in a fast-paced dynamic environment for a quickly growing company
  • Want to work directly with US and UK attorneys of a leading multinational corporation
  • Are looking for high visibility and unlimited growth potential

Specifically you will:

  • Assist in, and conduct, internal advisor testing and surveillance activities, including Code of Ethics administration, outside business activity reporting, gifts and entertainment surveillance, pay-to-play political contribution reporting and personal securities trading activities of
  • Access Persons
  • Assist in the conduct of email review oversight and target sampling, escalating to the Senior Compliance Manager when issues discovered
  • Assist in, and conduct, external compliance audits
  • Distribute quarterly selected Anti-Money Laundering compliance program recertifications to intermediaries contracted with our customers, tracking completion and secondary notifications, escalating to the Director, Compliance, when issues are identified
  • Manage weekly exception reports production and review, escalating issues to Senior Compliance Manager when discovered
  • Assist in production, reconciliation and tracking of required Compliance surveys, questionnaires, affirmations and various requests for information
  • Assist in reviewing training needs analysis and development of required Compliance training, including the annual Firm Element CE training plan
  • Perform client due diligence and KYC screening on new and existing customers for various business units
  • Guide the business units in preparing the KYC package and new on boarding requests
  • Ad hoc compliance support

Experience:

  • 4-6 years’ relevant AML, KYC, consumer banking back office operations, financial investigative services, fraud control, sanctions screening or operational risk experience
  • Experience with reviewing/updating procedures to ensure adherence to requirements
  • Experience with watch list filtering (customer screening) and adverse news screening a plus
  • Prior experience with KYC QA (reviewing cases for completeness and adherence to the relevant procedures) a plus

Skills for Success:

  • Proven ability to work in a client-centric, deadline driven environment
  • Excellent drafting skills
  • Have excellent customer service skills with a keen eye for detail and commitment to quality
  • Ability to perform basic and complex research
  • Ability to effectively communicate and work directly work with clients
  • Ability to analyze and organize work for maximum efficiency
  • Excellent interpersonal skills, focused on supporting your clients’ needs
  • Ability to present well on the phone and in virtual conference calls
  • Understand how to make processes more efficient

Technical Skills:

  • Computer literate with good MS office skills
  • Proficient in Legal and Regulatory research applications desirable

Qualifications:

  • Bachelor’s degree or commensurate experience within financial services
  • Advanced business, law, or operations degree desirable
Read More

Apply for this position

Required*
Apply with Indeed
Attach resume as .pdf, .doc, or .docx (limit 2MB) or Paste resume

Paste your resume here or Attach resume file

150
Human Check*