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Organization TypeLaw Firm
Years of Experience
Date Last Verified
Compliance Analyst Duties: Work with Compliance Leadership to implement and enforce Anti-Money Laundering (â€œAMLâ€), Know Your Client (â€œKYCâ€), Restricted Securities, Insider List, Securities Trade, Audits, New Hire Conflicts Process, and Ethical Screen Procedures administered by Compliance. Responsible for research and administrative functions in relation to Anti-Money Laundering, Sanctions analysis; establishment, troubleshooting and maintenance of ethical screens, processing of trade requests and compliance related conflict searches including year end client audits, marketing materials, and lateral hiring. First line of contact for all securities trade requests, insider lists, and other compliance responsibilities as needed. Review and evaluate new matters for compliance issues. Interact with the Department of the General Counsel in relation to compliance processes and special projects. Assist team members and legal staff with resolving compliance issues using appropriate resources for investigation, resolution and/or approval. Ensure compliance with Firm and Departmental processes, legal rules and regulations. Support Director and team with oversight of all functions in relation to securities trades, including review of related searches and analysis for General Counselâ€™s review. Make independent decisions regarding Restricted Securities List additions, updates and maintenance; securities trade searches, and coordination of disposition with lawyers. Facilitate all functions of Insider List preparation, tracking and necessary screen implementation. Provide sanctions research support to lawyers. Anti-Money Laundering follow-up including assistance with audits. Generate conflict searches in relation to all functions and task areas utilizing Legal Key database. Follow-up on record maintenance and troubleshooting in new business intake, intranet based workflow, LegalKey and departmental records. Facilitate all ethical screen implementation on relevant matters, including establishing screens, troubleshooting, pre-approval, follow-up, documentation and related on-going maintenance. Coordinate and help troubleshoot any ethical screen or related database updates or issues with Director. Perform internal compliance auditing functions and provide related reports on a regular basis. Perform conflicts searches on Legal Key database in fulfillment of trade searches, marketing requests, audit inquiries, and establishment of ethical screens. Administer processes in connection with restricted securities trading, ethical screens, protection of client confidential information, year-end client audits, AML and Sanctions screening, engagement agreement and outside counsel guideline profiling/posting, and system upgrade testing. Assist Compliance Leadership with weekly auditing, generation of reports, support on business services initiatives and special requests from legal teams, Partners and General Counsel. Process acknowledgments, email correspondence, engagement agreements and all relevant documentation relating to ethical and compliance issues as necessary. Perform any additional Compliance related duties which may be assigned by management.
Qualification and Experience
Qualifications: Bachelorâ€™s Degree. 2 yearsâ€™ experience in a law firm, preferably in a Law Firm Conflicts department or General Counselâ€™s office or comparable paralegal experience. Understanding of ethical screens AML, sanctions, insider lists, and lateral on-boarding helpful. Ability to work well under pressure and deadlines while prioritizing workload with limited oversight. Attention to detail and excellent organizational skills. Thorough knowledge of Word and Outlook. Knowledge of IntApp Wallbuilder and LegalKey desirable.
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