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Job Title
Conflicts & Compliance Analyst
Job Location
Kansas City
Job Type
Business Services
Country/Territory
United States
Region
The Americas
Description
Overview
You will be responsible for assisting partners and other members of
Clyde & Co with the new business inception process in line with
firm conflicts and risk management policies. Those policies are based
on legislation, case law and other opinions, rules of professional
conduct, and other regulatory requirements from a variety of
jurisdictions covering conflicts of interest, anti-money laundering,
and sanctions. This duty also extends to assisting with conflicts
checks of the firm's marketing/business development/article
publication endeavors and growth/expansion via lateral hires of fee
earners and other staff.
Clyde & Co shifted to virtual work for the majority of our
lawyers and business services team with the global outbreak of
Covid-19. This precaution was taken to help protect our people,
clients and communities. It is likely that this role will start
virtually while the firm continues to evaluate the situation.
Structure
You will be part of a dynamic and culturally diverse global Conflicts
& Compliance BAU Team, reporting regionally to the Head of BAU,
North America. The BAU Team consists of a Global Head; a North
American Regional Head/other regional Team Leaders; Lawyers/Counsel;
Senior Analysts; Analysts; and Assistants. The BAU works very closely
with the firm's Risk Department, including its AML & Sanctions
Lawyers and paralegals; General Counsel(s); and Risk Managers
Main Responsibilities
Conflicts
Reviewing Intapp Open request forms, including but not limited to
new client and matter forms, initial conflicts checks only, and
client/matter changes, ensuring satisfactory details are provided by
the engagement teams and querying instances where information is
either incomplete or unclear.
Analyzing the new client and/or new matter to determine the risks
associated with the instruction.
Conducting conflicts checks using the firm's conflicts database,
paying close attention to sensitive entries in the firm's Black Book
warning file database.
Drafting broad enough search terms to catch a variety of potential matches.
Maintaining familiarity with application of a variety of
intersecting rules based on jurisdiction, practice type, etc.
Knowing when to perform corporate family tree research and
incorporate entities related to submitted parties in conflicts searches.
Analyzing conflict search results and liaising with partners and
case handlers on the matters that may present conflicts of interest.
Obtaining relevant information on the matter, if required, in order
to make a judgement call on whether a conflict or potential conflict
is present.
Escalating conflicts issues as appropriate with clear analysis of
the conflict and the conclusions reached so far.
Proactively following up when seeking information or conflict
resolution from other stakeholders around the firm.
Maintaining and updating the conflict search database as key
information becomes apparent on existing matters.
Assisting in the research and implementation of ethical
walls/information barriers. Working with the Risk Team as needed,
safeguarding confidentiality at all times for the involved teams.
Supporting the high volume business on matter inception, ensuring
that conflict checks are carried out in a timely manner for all
types, but also recognizing those which need prioritization above others.
Recording all conflict research, communication with stakeholders,
and analysis and conclusion of the conflict resolution in the firm's
client and matter inception software, for the purposes of compliance
and auditing.
Anti-Money Laundering
Researching, identifying and verifying new clients by using online
data providers and any other online resources.
Analysing and establishing the corporate structure for clients
where relevant and tracing up to the ultimate beneficial owners.
Advising engagement teams on further details that are required
from the client in the event that information is not available in
the public domain or documentation is required on identified individuals.
Researching and identifying politically exposed persons and high
risk clients by creating an online profile.
Attributing a risk rating to the client and escalating the client
where a decision needs to be made upon analysis of documentation and risk.
Seeking sign off from MLRO's and Risk Partners when required and
advising partners on any steps that need to be taken to mitigate the
risks associated with the client.
Assisting in the on-going monitoring for existing clients and
updating client due diligence for existing clients.
Recording all AML documentation, communication and risk rating in
the Client Risk Assessment section of the client and matter
inception software, with a clear synopsis of how the client rating
has been attributed, stating any mitigating factors and follow up
steps that need to be taken by the BAU or case handlers.
Compliance and More
Maintaining technical knowledge, expertise and know how on the
nature of the work each department undertakes in the Firm,
conflicts, AML, and sanctions.
Screening all clients and matters for sanctions and escalating any
adverse findings to the Risk Team and Sanctions Partners.
Carrying out the conflict checking and client/matter on-boarding
process for lateral hires. Working closely with HR/recruiting.
Supporting junior members of the BAU Team on queries and training.
Training new secretarial hires on use of the conflicts submission system.
Answering queries from around the firm on the BAU helpline and
through the BAU email inbox and escalating urgent queries to the
appropriate individual(s) within and outside of the department.
Assisting on the execution of projects as and when they arise.
Providing coverage of queues to team-members away from the office.
Specification
Knowledge of rules of professional conduct applicable to lawyers,
specifically those covering conflicts of interest rules, duties to
former and current clients, obligations of confdidentiality, notice
and consent requirements, and ethical screens.
Prior experience with legal case management and conflicts software (desirable).
Knowledge of anti-money laundering legislation (desirable).
Strong MS Office.
Meticulous attention to detail.
Strong customer focus.
Excellent communications skills and ability to articulate issues,
rules, objective application of facts thereto, and conclusions drawn.
Diligent but efficient ability to perform various online research endeavors.
Strong spelling and grammar skills.
College degree required. J.D. or paralegal certificate a plus.
Relevant experience may substitute.
Competencies
Strategic thinker with commercial awareness.
Service orientated: Recognizing internal and external clients and
the importance of service delivery.
Ability to work as part of a team and use own initiative, manage
own workload and adapt to changing priorities.
Adaptable to new systems, procedures, and requirements of role.
Flexible approach: Willing to assist others in achieving team objectives.
Confident dealing with senior management and ensuring service
levels are adhered to. Well-disciplined and self-motivated.
Ability to work well under pressure.
Confident and proactive approach.
Enthusiastic and positive attitude.
Discretion handling highly sensitive and confidential information.
-Principals Only-
It is the policy of the Firm to recruit, hire, promote, reassign,
compensate and train highly- qualified persons without regard to race,
color, sex, sexual orientation, gender identity or expression,
religion, national origin, age, disability or any other basisprotected
by applicable law.
CLYDE & CO PRIVACY NOTICE:https://www.clydeco.com/help/privacy