Intermediate Compliance Associate
4 days ago
Elevate is recruiting an Intermediate Compliance Associate to join our high performing Risk Management Team.
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 client's established trade regulations and policies.
- Identify and communicate with the client's 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 client's BURM Team on a daily basis of unresolved identified post-trade breaches and see to it that these were acted on accordingly.
- Remind client's 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.
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