Compliance Analyst

Tampa, FL 33607

Post Date: 12/05/2017 Job ID: 26472 Industry: Other Area(s)

Compliance Analyst

Job Description

Position Summary

Implement and enforce Anti-Money Laundering (“ AML”), Know Your Client (“ KYC”), Restricted Securities, Insider List, Securities Trade, Engagement Agreement, and Ethical Screen Procedures handled by Compliance. Interact with the Department of the General Counsel and Senior Compliance Lawyers in relation to engagement agreement initiative.  Advise staff and lawyers on complying with engagement agreement procedures. 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. Review and evaluate new matters for compliance issues.  Ensure compliance with departmental processes and legal rules and regulations.  This is a non-legal position.


¨  Support Director and team with oversight of all functions in relation to securities trades, including review of related searches and analysis for General Counsel’ 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.

¨  Track and analyze receipt of engagement agreements, counsel guidelines and framework agreements in support of protocols.

¨  Maintain and edit client matter records accurately in support of engagement agreement colleciton, tracking, and auditing.

¨  Maintain record in relation to counsel guidelines, framework agreements and other form engagement terms in support of Senior Compliance Lawyer, Director and General Counsel.

¨  Generate conflict searches in relation to all functions e.g., marketing searches, client auditor requests, lateral and trade searches utilizing Legal Key database.

¨  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 lateral hire process, including conflict search processing, liaising with and maintaining relationships with HR Recruiting teams across the Firm, ensure candidate documents and hiring paperwork is completed and received in a timely fashion, manage communications with HR central recruiting team, Assistant General Counsel and Director. Produce related reports as necessary.

¨  Process acknowledgments, email correspondence and all relevant documentation relating to ethical and compliance issues as necessary.

¨  Perform any additional Compliance related duties which may be assigned by management or General Counsel Lawyer





¨  Bachelor’ s Degree

¨  JD candidates will be considered

¨  Two years experience in a law firm, preferably in a Law Firm Conflicts department or General Counsel’ s office or comparable legal experience.

Essential job requirements

¨  Experience reviewing terms of engagement or contracts.

¨  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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