Position Overview
As Compliance Operations Associate, you’ll be reporting to a Senior Compliance Operations Associate focusing on managing compliance risk, implementing changes to gain operational efficiencies for the overall Compliance team, reporting on key operational and performance metrics and creating procedures, guidelines and escalation protocols for new key tools/tasks.
Responsibilities:
Adjudicate sanctions alerts from multiple sources.
Investigate potential suspicious expert activity.
Identify and report anomalies and trends in risk mitigation findings.
Help validate the identities of our experts and investigate anomalies.
Track and report compliance-related performance of employees’ and our Compliance team to report findings to senior leadership.
Identify and implement operational efficiencies within the Compliance team.
Conduct thorough investigations of potential compliance violations.
Maintain accurate and up-to-date records of all Compliance Operations’ activities.
Collaborate with internal teams (e.g., Legal, Tech, Finance) to mitigate risks and improve compliance processes.
Stay abreast of relevant regulations and industry best practices.
