Compliance Analyst
White & Case
34 reviews
Tampa, FL 33607
White & Case
34 reviews
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Compliance Analyst
Firm Summary
White & Case is an elite global law firm serving leading companies, financial institutions and governments worldwide. Our long history as an international firm means we are perfectly placed to help our clients resolve their most complex legal challenges wherever they may be.
With lawyers operating from more than 40 locations, working in virtually every country of the world, we have invested heavily in building a high-quality full-service practice competing at the top of the market. We are distinguished by our on-the-ground presence in the world’s key financial markets and our strengths in handling complex cross-border work.
It’s not just about our global network of offices; it’s the global interconnectedness of the Firm that our people, and our clients, value most. We work well together across geographic and practice boundaries. It’s one of the reasons we attract and retain cross-border work. And why we attract a diverse group of people.
Our lawyers are globally minded, enterprising, collaborative and committed to excellence. Diversity is a core value of our Firm and it has been recognized with numerous awards and top rankings around the world. Our people represent 90 nationalities and speak 80 languages.
Position Summary
Work with Compliance Leadership and the Office of the General Counsel (“OGC”) to help ensure Firm employees and Partners remain in compliance with Firm policies and procedures, legal rules and regulations. The work involves handling a broad range of risk and compliance responsibilities and projects. Key aspects include monitoring developments in law relevant to attorney advertising and reviewing Firm publications for compliance; helping to implement procedures relating to Anti-Money Laundering (“AML”) and Know Your Client (“KYC”) regualtions; helping to create, develop and monitor the Firm’s Policy Site; assisiting with analysis and approvals of Securities Trades; and working to support the New Hire Conflicts Process.
Specific responsibilities described below may vary depending on the needs of the Compliance Team.
Our Compliance Team
Every minute of the day, a White & Case lawyer is practicing law somewhere in the world. Our compliance team expedites all compliance procedures relating to the opening of matters including anti-money laundering due diligence and sanctions compliance, the maintenance of ethical screens including Insider Lists, the collection of client engagement agreements and outside counsel guidelines, and processing of trades and enforcement of global restricted securities protocols.
You will work at the heart of the Firm’s new business intake operations and as a trusted team member supporting our Partners and business services staff. Combining both sound risk analysis and effective communication skills, you will support the OGC and collaborate with other business services teams around the world and across our business.
Duties and Accountabilities 1
• Perform conflicts searches on Legal Key database in fulfillment of trade searches, marketing requests, audit inquiries, and establishment of ethical screens.
• 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.
• Administer processes in connection with securities trading; ethical screens; protection of client confidential information; marketing publications; lateral oboarding; year-end client audits; AML and Sanctions screening, research and audits; and engagement agreement and outside counsel guideline profiling/posting.
• Assist in monitoring, tracking, and analyzing Lateral Hire submissions. Coordinate with HR and Managing Clerk as needed to obtain missing information. Liaise with Partners regarding potential conflicts issues.
• Coordinate review and analysis of marketing materials and publications to ensure no conflicts of interest and no violations of attorney advertising rules.
• Support Director and team with oversight and auditing of the Restricted Securities List. Facilitate all functions of Insider List preparation, tracking and necessary screen implementation.
• Assist with creating and updating Firm policies and procedures and posting them on Firm’s internal Policy Site.
• Work with OGC to prepare responses to regulators including FINRA and CONSOB (as needed).
• Assist team members and legal staff with resolving compliance issues using appropriate resources for investigation, resolution and/or approval. Ensure compliance with Firm and Departmental processes, legal rules and regulations.
• Provide support for the development and delivery of compliance and risk management training programs run by Compliance and/or OGC.
• Assist Compliance Leadership with weekly auditing, generation of reports, support on business services initiatives and special requests from legal teams, Partners and General Counsel.
Qualifications
• JD is not required for the position
• Two years’ experience in a law firm, preferably in a Law Firm Conflicts department or General Counsel’s office or comparable paralegal experience.
• 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.
• Effective interpersonal skills and the ability to interact with people at all levels.
• Pragmatic, self-motivated, flexible and able to work both in team and individually as required.
• Willingness to take on additional tasks as and when required.
• Excellent IT skills, including proficiency in MS Office, ideally experience of iManage/document management systems
• Knowledge of InTapp Wallbuilder, InTapp Intake and LegalKey desirable
Location & Reporting
• This is a non-exempt role based in Tampa, Florida
• This role reports to the Senior Manager of Compliance
The Firm may modify and amend any job description at any time in its sole discretion. Nothing herein creates a contract of employment or otherwise modifies the at-will nature of employment.
1The above is only a general description of the essential duties associated with this position and does not represent an exhaustive or comprehensive list of all duties.
Primary Location: United States-Tampa
Job: General Counsels Office
Job Posting: Feb 16, 2021, 4:04:00 PM