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.
<ul><li>I am currently employed with Safety Management Systems, contracted to Shell Offshore, and am assigned to the Transocean Deepwater Pontus. My focus onboard is to promote the tenets of Assist & Assure. I attend pre-tour meetings, pre-job meetings, and facility orientations to ensure that pertinent information is shared and to provide feedback to the meeting facilitators. I conduct Step 7 conversations with different work groups to gauge personnel’s competence and identify areas where coaching would be beneficial. I promote Goal Zero Supervision from Shell and Transocean leadership. Along with leadership, we gauge our effectiveness using Rose Plots, our assurance tool. I have participated in four Assist & Assure Effectiveness Reviews as well as Statement of Fitness Assessments while aboard the Pontus. My duties onboard also include helping to plan work so that there are no simultaneous operations conflicts, observe work to ensure adherence to Shell and Transocean policies and procedures and to help with risk identification / mitigation.</li><li>Previously, I was assigned to the Shell Olympus TLP. I helped to support both the operator’s and drilling contractor’s policies and procedures. While assigned to Olympus, Shell Gulf of America adopted the Global Assist & Assure Application. Our jobs transitioned from being HSE Technicians to HSE Coaches. I attended training workshops and began using the principles of Assist & Assure onsite.</li><li>During my time with SMS, I have also worked as a Production HSE technician and supported construction activities during turn-around campaigns. My goal is to help nurture a workplace where we will have no harm to people or the environment; we will perform efficiently and have no BSEE Incidents of Non-Compliance.</li></ul> at Safety Management Systems<ul><li>I am currently employed with Safety Management Systems, contracted to Shell Offshore, and am assigned to the Transocean Deepwater Pontus. My focus onboard is to promote the tenets of Assist & Assure. I attend pre-tour meetings, pre-job meetings, and facility orientations to ensure that pertinent information is shared and to provide feedback to the meeting facilitators. I conduct Step 7 conversations with different work groups to gauge personnel’s competence and identify areas where coaching would be beneficial. I promote Goal Zero Supervision from Shell and Transocean leadership. Along with leadership, we gauge our effectiveness using Rose Plots, our assurance tool. I have participated in four Assist & Assure Effectiveness Reviews as well as Statement of Fitness Assessments while aboard the Pontus. My duties onboard also include helping to plan work so that there are no simultaneous operations conflicts, observe work to ensure adherence to Shell and Transocean policies and procedures and to help with risk identification / mitigation.</li><li>Previously, I was assigned to the Shell Olympus TLP. I helped to support both the operator’s and drilling contractor’s policies and procedures. While assigned to Olympus, Shell Gulf of America adopted the Global Assist & Assure Application. Our jobs transitioned from being HSE Technicians to HSE Coaches. I attended training workshops and began using the principles of Assist & Assure onsite.</li><li>During my time with SMS, I have also worked as a Production HSE technician and supported construction activities during turn-around campaigns. My goal is to help nurture a workplace where we will have no harm to people or the environment; we will perform efficiently and have no BSEE Incidents of Non-Compliance.</li></ul> at Safety Management Systems