Facilitate all Insider List, Restricted Security, Confidentiality and Ethical Screen implementation, including troubleshooting, pre-
approval, follow-up, documentation and related on-going maintenance.
Perform review and evaluation of new matters to ensure that compliance issues are being appropriately addressed.
Perform conflicts searches on LegalKey database in fulfillment of compliance requests, trade searches, lateral searches, audit, and marketing searches and establishing ethical screens, as required.
Make restricted securities list additions, and perform related maintenance along with securities trade search requests, provide same to the Compliance Advisor / Supervisor / Director for review.
Provide lateral (new hire) conflict search and new hire coordination support to General Counsel and New York team.
Provide audit and marketing search support to General Counsel and New York team.
Enforce procedures and adhere to processes governing Anti-Money Laundering ( AML ), Know Your Client ( KYC ), Restricted Securities, Insider List, Securities Trading and all related ethical screens.
Perform due diligence research and administration functions in relation to Anti-Money Laundering, Know Your Client analysis and other Compliance related tasks, as necessary
Interact with the Department of the General Counsel to enforce compliance with Firm and Departmental procedures.
Assist Compliance Supervisor, Director, General Counsel and Compliance Lawyers on global Compliance initiatives as required.
Additional Responsibilities :
Demonstrate consistency in exhibiting mature judgment and handling confidential information appropriately.
Strong attention to detail and analytical skills.
Effective communicator with strong oral and written communication skills. Excellent interpersonal skills.
Flexible and adjusts well to change. Ability to work well under extreme pressure and work with little direction while meeting competing deadlines.
Ability to be mindful of the big picture without losing sight of the details.
Regular and predictable attendance is required. Amenable to flexible work schedule as needed. Available to work overtime as needed.
Location & Reporting
This is an Analyst role based in Manila, with potential for international travel
This role reports to the Supervisor for Compliance