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Job Title
Conflicts & Compliance Analyst
Job Location
Miami
Job Type
Business Services
Country/Territory
United States
Region
The Americas
Description
The Firm
Clyde & Co is a leading global law firm, helping organizations
successfully navigate risk and maximize opportunity in the sectors
that underpin global trade and commercial activity. When you work at
Clyde & Co,you join a team of 490 partners, 2,400 lawyers, 3,200
legal professionals and 5,500 people in nearly 70 offices and
associated offices worldwide. Our values are the principles that guide
the decisions we make, unite us in our endeavors and strengthen our
delivery, for both our clients and our firm. We work as one, excel
with clients, celebrate difference and act boldly. We are committed to
operating in a responsible way by progressing towards a diverse and
inclusive workforce that reflects the communities and clients it serves.
Overview
You will be responsible for assisting partners and other members of
Clyde & Co with the new business inception process in line with
legislation, case law, and regulatory requirements for a variety of
jurisdictions. This will include conflicts of interest, anti-money
laundering processes for new and existing clients, on-going client
monitoring, sanctions checks, and other risk management procedures.
Structure
You will be part of the global BAU Team, reporting regionally to the
Head of BAU, North America. The BAU Team consists of a Global Head; a
North American Regional Head; Team Leaders; Conflicts Counsel; and
Conflicts and Compliance Administrators, Assistants, Analysts, and
Senior Analysts.
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 Case Handlers 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.
Analyzing conflict search results and liaising with Partners/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.
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 Case Handlers 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 PEPs 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 the Case Handlers 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
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 on-boarding process
for lateral hires.
Supporting junior members of the BAU Team on queries and training.
Answering queries from around the firm on the BAU helpline and
through the BAU email inbox and escalating urgent queries to the
appropriate individual within the department.
Assisting on the execution of projects as and when they arise.
Specifications
Knowledge of conflicts of interests rules and software.
Knowledge of anti-money laundering legislation (Desirable).
Strong MS Office.
Meticulous attention to detail.
Strong customer focus.
Excellent communication skills.
Degree or other relevant qualifications.
Experience using Elite Enterprise or similar management systems (Desirable)
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.
Working Pattern: Your assigned office's normal working hours are 9:00
a.m. to 5:00 p.m. with a one-hour lunch break. Your hours may be
variable and subject to change, however, based on department need and
the current state of global staffing as it relates to coverage of
other regions' office hours. Overtime may be required as needed from
time to time. Time off requests should be avoided in the month of
April every year to the extent possible due to it being the last month
of the firm's fiscal year.
-Principals Only-
We offer a rewarding work environment that supports professional
growth and opportunities. We value diversity in our work place and 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 basis
protected by applicable law.
CLYDE & CO PRIVACY NOTICE:https://www.clydeco.com/help/privacy