Compliance Analyst

Position Summary

Provide Compliance team support on:

• All ethical screens firm wide including establishment and maintenance.
• Perform restricted securities list maintenance, trade request processing, Insider List establishment.
• Lateral legal hire conflict searches.
• Engagement letter and framework agreement collection and tracking, and audit process functions.
• Assist with global Anti-Money Laundering policy enforcement and related Know Your Client due diligence.
• Ensure compliance with all departmental processes/regulations.
• Interact with the Department of the General Counsel in relation to compliance processes.
• Interact and coordinate Compliance functions with New Business Intake team.
• Assist with Compliance maintenance projects and quality control assignments, as well as other duties assigned by management from time to time to support the Compliance and New Business Department and its various functions. 

Responsibilities

• Perform troubleshooting, pre-approval, follow-up, documentation and related on-going maintenance of all Insider List, restricted security, confidentiality and ethical screens.
• 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 searches and establishing ethical screens, as required.
• Make restricted securities list additions, and perform related maintenance.
• Conduct securities trade searches, provide same to the General Counsel for disposition and conduct tracking for the Compliance team.
• Provide lateral (new hire) conflict search and new hire coordination support to New York team.
• Provide audit search and administrative tracking support to General Counsel and New York team.
• Assist with collection, and tracking oversight for client engagement letters, framework agreements and Counsel Guidelines on a global basis.
• Adhere to procedures governing Anti-Money Laundering (“AML”) / Know Your Client (“KYC”), Restricted Securities, Insider List establishment, Securities Trading and all related ethical screens.
• Perform due diligence and administrative functions in relation to Anti-Money Laundering and Know Your Client analysis.
• Interact with the Department of the General Counsel to enforce compliance with Firm and Departmental procedures.
• Assist in drafting Compliance team project proposals, supporting documents, procedures and policy guides.
• Maintain collaborative communications with Global Compliance team including colleagues in Warsaw, Moscow and Manila as well as the New Business Intake Teams in Manila and Tampa.
• Assist Compliance Supervisor, Compliance Director, General Counsel and Compliance Lawyers on Global Compliance initiatives as required.

Additional Responsibilities

• Ability to make sound decisions, troubleshoot issues and communicate in a professional manner with Partners, Associates, legal staff, peers and Firm Management.
• Assist with all other functional initiatives and tasks within the Compliance area.
• Performs any other duties relevant to functional area which may be assigned by management.

Education/Qualifications

• Bachelor’s Degree.
• Two years’ experience in a law firm, preferably in a Conflicts department or General Counsel’s office or comparable paralegal experience.

Essential Job Requirements

• 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. Available to work overtime as needed.