Compliance Analyst with experience in both Conflicts and Client Due Diligence/Anti-Money Laundering. Delivering timely information to legal teams to maximise business results.
Overview
4
4
years of professional experience
Work history
Conflicts and Compliance Analyst
Clyde & Co LLP
11.2023 - Current
Providing compliance support across Europe, APAC, with a focus on MEA.
Conflicts
Reviewing requests for new clients and matters using Intapp, to assess for legal conflicts; commercial conflicts; and regulatory risks.
Checking that new clients and matters can be accepted in the context of internal firm-wide policies.
Ensuring that all relevant details are captured on new requests, to ensure comprehensive conflict and risk analysis.
Liaising with stakeholders about potential conflicts and risks to assist with timely delivery of new business.
Conducting research and analysis for escalation of conflict issues to management.
Identifying and implementing information barriers, to protect confidentiality.
Anti-Money Laundering
Identifying new clients using via online sources and databases. Engaging with the legal team for further information where it cannot be found publicly.
Creating comprehensive Client Due Diligence packs.
Ongoing monitoring of clients, frequency dependent on a client's risk rating.
Determining a client's risk rating based on: jurisdiction, industry activities, presence of PEPs, presence of adverse media.
Understanding a client's corporate structure. Where relevant, determining its UBO; source of funds; and source of wealth.
Escalating clients to Financial Crime Lawyers where significant risk factors have been identified.
Reviewing and providing feedback on CDD packs completed by AML Paralegals.
Compliance Analyst
Bryan Cave Leighton Paisner LLP
01.2022 - 11.2023
Conducted conflict and risk checks for new business matters using Intapp.
Made judgements on how to approach clearances based on client terms, outside counsel guidelines, engagement letters, and US conflict rules.
Identified and communicated potential legal and commercial conflicts with partners, and working collaboratively to reach a solution.
Ensured all relevant matter information is available to determine conflict and risk checks are accurate.
Conducted Client Due Diligence/Anti-Money Laundering checks on clients and third party payers using Orbis, Acuity, and Companies House.
Set up and maintained information barriers to protect potential confidential/ price sensitive information.
Managed high volumes of compliance queries coming from wider business into Business Acceptance Team inbox.
Completed reports for matter referrals to management, e.g. where matters involve: sanctions, negative media and/or politically exposed person (PEP) concerns.
Completed Environmental, Social and Governance research to help assess whether client relationships/matters should be onboarded/expanded.
Organised the team weekly meeting.
Provided training for new analysts, and legal apprentices during their seat in Compliance.
Performed Intapp Open upgrade testing.
First Notification of Loss Claim Handler
Bott and Co Solicitors
06.2021 - 01.2022
First point of contact for potential clients to pursue personal injury legal cases.
Carried out risk assessments to assist with the acceptance and rejection of cases based on conflicts of interest, liability, prospects of success.
Ensured GDPR and SRA standards were met and maintained.