Compliance Analyst

Excellent opportunity for a Compliance Analyst to support the Americas region of a highly regarded financial institution. The department’s work is principally focused on AML, CTF and sanctions risk, and is likely to expand to encompass regulatory risk and conflicts.

Duties:

• As part of the new client/matter opening process, responsible for (a) analyzing new clients and matters to assess AML/CTF risks and determine applicable CDD requirements, (b) collecting and reviewing relevant CDD materials, and (c) approving new client/matters which have satisfied applicable requirements, or otherwise escalating cases to the Regional Compliance Manager as necessary.
• Provide practical and prompt advice and assistance to fee-earners and other professional staff in relation to applicable AML/CTF (including CDD) obligations.
• Conduct screening to identify politically exposed persons (PEPs), sanctions issues and other regulatory and reputational risks.
• Conduct and review risk assessments to ensure that the appropriate risk rating is assigned to new clients and matters and that proper escalation to senior management is triggered in high-risk scenarios.
• Assist with the preparation of training materials and deliver training for compliance team members and for employees across the Americas region.
• Assist with preparations for regulatory inspections and submissions.
• Provide assistance with on-going monitoring procedures, including testing of reliance on third parties and other risk and compliance audits as necessary.
• Work closely with operational teams to ensure that the firm’s AML/CTF obligations are met.
• Assist the Regional Compliance Manager with local, regional and global compliance projects as required.

Requirements:

• Graduate with a minimum of 2 years’ experience in an international compliance function role with a focus on AML and other financial crime.
• Practical knowledge and experience of applying a risk-based approach to compliance.
• Excellent oral and written communication skills and ability to communicate with partners, employees and (where appropriate) with the firm’s clients.
• Strong research and analytical skills and attention to detail.
• Ability to work independently and as part of a team.
• Client-focused and commercial aptitude.
• Ability to work under pressure and responsive to the expectations of partners and clients.
• Able to prioritize competing demands, excellent time management and organizational skills.