As a Compliance Associate (fluent Thai) , you will work with our clients to identify potential instances of market abuse, misconduct and / or regulatory violations by reviewing pre-selected e-Communications and escalating for further review where necessary.
As part of our rapidly expanding business, this role offers the opportunity to develop a career in Compliance, focusing primarily on trading and sales activity within financial institutions.
Responsibilities & Qualifications
Specifically You Will Be...
Screen electronic communications quickly and effectively using client-developed guidelines on market abuse
Identify and escalate potential instances of market abuse.
Act as point of contact for all translations and specialist language reviews.
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
Advanced knowledge of MS Excel
Experience with any Compliance / Surveillance software will be an added advantage
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 or quality assurance using specialist language skills on a daily basis.
Fluent in Thai
Excellent English communication skills
Degree in Economics, Business, Law preferred
Series 7 or equivalent industry qualification preferred.
Elevate is the Law Company. We provide consulting, technology and services to law departments and law firms. The company's legal, business and technology professionals extend and enable the resources and capabilities of customers worldwide.
Elevate's achievements and distinctions include :
Winner of the American Lawyer Industry Awards Best Alternative Legal Services Provider of the Year 2019.
Winner of British Legal Awards Alternative Service Provider of the Year 2019.
Winner of the IACCM Innovation and Excellence Awards 2019 - Outstanding Service Provider (Americas and Global).
Ranked as a Top Global Services Provider by Chambers & Partners five years in a row.