Intermediate Compliance Associate

Job Description

Specifically You Will Analyze and assess post-trade reports and data on a daily, weekly and monthly frequency to identify potential breaches and risks basing on the clients established trade regulations and policies. Identify and communicate with the clients Business Unit Risk Management (BURM) Team with regards to breaches and possible sanctions on post-trade transactions. Check and assure proper documentations were filed by the Financial Advisory (FA) Teams whenever there were changes and updates made on the EBBOS system. Remind clients BURM Team on a daily basis of unresolved identified post-trade breaches and see to it that these were acted on accordingly. Remind clients BURM and FA Teams on a weekly basis of upcoming due pre-trade Statements of Advice that needs to be sent out to their respective clientele. Technical Skills Proficiency in primarily MS Excel. (be able to understand and formulate Excel syntaxes) Experience Risk, Compliance or Global Markets experience is a plus. Previous work experience in a similar control/risk function within a business is a plus. Qualifications Excellent English communication skills. Degree in Economics, Business, Law preferred. Elevate is a law company. We provide software and services for the intersection of business and law. Our legal, business, and technology professionals offer practical ways for global law departments and law firms to improve efficiency, quality, and business outcomes. Our most recent achievements and distinctions include: For the ninth consecutive year, in 2024, Chambers & Partners named Elevate as a Top global services provider, ranking us as Band 1 (highest ranking) in all applicable categories (Contract Lifecycle Management, Litigation Services, and Flexible Legal Staffing) and as an Alternative Legal Service Providers in Asia-Pacific. For the fourth year in a row, Elevate s integrated law firm has been designated as a top law firm in Commercial Litigation in the 2024 edition of Best Lawyers/US News & World Report Best Law Firms. Newsweek awarded Elevate highest rating in the annual America s Greatest Workplaces for Diversity List and America s Greatest Workplace for 2024 list. Elevate was named a top ALSP in Asia by Thomson Reuters Asian Legal Business in 2024. Co-winner, 2022 Financial Times Collaborative Innovation Award for Industry Impact. Winner, Inc. 5000 Fastest-Growing Private Companies: 2022, 2021, 2020, 2018, 2017, and 2016. Named by ALM Intelligence as the only Pacesetter in the Legal category in its 2021-2022 Legal Department Legal Operations report. The first non-lawyer-owned global legal services provider to receive an Alternative Business Structure (ABS) License to provide legal services in the US. Learn more at: https://elevate.law See more jobs at: https://elevate.law/careers/ Follow us on social media: https: / / twitter.com / ElevateService