Elevate is changing the way legal support services are delivered and we are looking for creative, innovative people who can help. If you are a client-focused professional who wants your ideas to make a difference, Elevate's team of highly regarded legal service experts could be the right fit for you.
As an eCommunications Surveillance Analyst, you will work with our investment banking client, to identify potential instances of market abuse, misconduct, and/or regulatory violations by reviewing targeted 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 Financial Services Compliance.
Our investment banking client, is a leading global financial services firm providing a wide range of investment banking, securities, wealth management and investment management services. With offices in 42 countries, the firm’s employees serve clients worldwide including corporations, governments, institutions, and individuals.
Our investment banking client, provides leading financial services to its clients in the People’s Republic of China and across the globe. Businesses include underwriting and sponsoring of equities and bonds, securities principal trading, and other businesses approved by the China Securities Regulatory Commission (CSRC).
Key Responsibilities.
The roles and responsibilities include:
* Screening electronic communications (email, instant messaging, Bloomberg and audio calls) in English, Mandarin & Cantonese quickly and effectively following customer guidance on Financial Crime, Market Abuse and Code of Conduct.
* Second Line Review of potential cases prior to escalating to the customer.
* Identifying and raising Reasons for Concern to local Compliance contacts.
* Managing the internal Quality Assurance process.
* Consulting with customer teams on escalated cases to improve accuracy and quality of service.
Qualifications/ Skills/ Requirements.
* An undergraduate bachelor’s or master's degree, with relevant major a plus.
* 1-2 years’ experience in the financial services industry or a compliance program.
* Good knowledge and understanding of investment banking operations and relevant compliance policies and procedures.
* Analytical, adaptive, multi-tasker, team player and have a strong work ethic and leadership skills.
* Interest in developing a career in Investment Banking Compliance.
* Fluent in Mandarin, Cantonese, and English, both verbal and written.
* Skilled in using MS Office.
* The right to work in Mainland China.
* Commitment to achieving a recognized industry qualification such as FINRA Securities Industry Essentials (SIE) as mandated by local management team.
Working Location: Headquarters in Shanghai.
