As a Compliance Associate, you will work closely with our compliance team spread across UK and Philippines to support and enhance our reporting and analytical capabilities. As part of our rapidly expanding business, you will be expected to provide methodologies, processes and technologies that transform raw data into meaningful and useful information.
You might be the right person if you:
- Have strong analytical skills with the ability to manipulate raw data into meaningful insights
- Are able to spot trends or anomalies in data without a checklist or without being told what to look for
- Have excellent focus and high level of attention to detail
- Are passionate about delivering excellent quality and service to our clients
- Are a team player who works well within a collaborative environment
- Have an inquisitive mind and willingness to learn new areas of reporting
Specifically you will:
- Screen electronic communications quickly and effectively using client-developed guidelines on market abuse
- Identify and escalate potential instances of market abuse
- Participate in the 2nd line review of cases that may potentially be escalated to the client
- Participate in the internal Quality Assurance process
- Liaise with client teams on escalated cases, as necessary
- Experience working as a translator or interpreter.
- Prior experience or interest in regulatory compliance and investment banking is a plus.
- Experience or strong interest in eCommunications, trade surveillance, market abuse or compliance in a financial services firm.
- Experience working in a high volume environment, preferably focusing on targeted monitoring, quality assurance/control in similar setting.
Skills for Success:
- High level of attention to detail
- Strong problem solving skills
- Proactive with minimal need for guidance
- Basic familiarity with regulation surrounding electronic communication surveillance
- Basic familiarity with FCA regulations and its application to financial services clients
- Strong analytical and decision-making skills
- Advanced knowledge of MS Excel with intermediate knowledge of MS PowerPoint and Word
- Prior experience with any Compliance software will be an added advantage
- Fluent in Korean and English.
- Additional language fluency a plus.
- Graduate or equivalent experience.
- Series 7 or equivalent preferred
Elevate is the law company. We provide consulting, technology and services to law departments and law firms. Our global team of lawyers, engineers, consultants and business experts improve efficiency, quality and outcomes for customers worldwide. Elevate’s achievements and distinctions include:
- Ranked on the Inc. 5000 list of Fastest-Growing Private Companies two years in a row.
- Ranked as a top Global Services Provider by Chambers & Partners three years in a row.
- Lead Partner of the FT Innovative Lawyers Awards.
Learn more at https://elevateservices.com
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