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Clyde & Co · 2 hours ago

Conflicts & Compliance Analyst

Kansas City, MO

Full-time

Onsite

Entry, Mid Level

Clyde & Co is a global law firm seeking a Conflicts & Compliance Analyst to assist partners with the new business inception process in compliance with legislation and regulatory requirements. The role involves managing conflicts of interest, anti-money laundering processes, and ongoing client monitoring while collaborating with various teams within the firm.

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Responsibilities

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

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

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

Qualification

Conflicts of interest knowledgeAnti-money laundering knowledgeClient risk assessmentElite Enterprise experienceMS OfficeSpellingGrammarDegreeQualificationsAttention to detailCustomer focusCommunication skills