Job Role: Associate- Legal Operations
PQE: 3 years
Specifically, you will:
- Perform tasks as assigned in accordance with the compliance program, including monthly, quarterly, and “as needed” tasks.
- Document work performed to support conclusions reached including the identification of root causes for breaches of local law, regulation policy, and/or internal control deficiencies.
- Conduct email review oversight and target sampling.
- Manage weekly exception reports production and review.
- Interact with the customer on a daily/periodic basis and report on the task as per defined timelines.
- Assist in the preparation and completion of an annual compliance risk assessment.
- Report to management both verbally and through written reports in Excel, Word, and PowerPoint by collecting, analyzing, and summarizing information.
- Escalate potential issues and exception items noted during the review process to management.
- Maintain and update internal as well as customer documents and compliance logs (e.g., compliance risk and control matrix).
- Organize and maintain the group’s document depository system.
- Participate in Compliance team meetings as directed.
- Work efficiently to complete assigned tasks timely.
- Perform ad hoc compliance and legal tasks as assigned by the customers for the first time.
Skills for Success:
- Passion for delivering first-class customer service.
- Excellent focus and a high level of attention to detail.
- Ability to demonstrate a fundamental knowledge of regulatory requirements in the financial services industry.
- Zeal to build knowledge and develop a strong understanding of financial markets and the regulatory climate.
- Individuals who are highly motivated, and intelligent, and have demonstrated excellence in prior endeavors.
- Proven ability to work in a client-centric, deadline-driven environment.
- Strong PC skills, including extensive experience with MS Excel and MS PowerPoint.
- Ability to interact with the customer independently. Ability to present well on the phone and in virtual conference calls.
- Good transition and project management abilities.
- Quick learning and adapting to change quickly and understanding of how to make processes more efficient.
- Ability to write clearly and concisely, taking into consideration different audiences and attention spans.
- Strong attention to detail in all job functions and ability to use sound judgment in decision-making.
- Strong analytical, organizational, interpersonal, verbal, and written communication skills.
- Bachelor’s Degree.
- 3 or more years of relevant experience.
- Exposure/Specialization in Compliance in the Finance domain is preferred.