Our client, a well-known international law firm, is seeking a Conflicts & Compliance Analyst (CCA) for the APAC region. The CCA will be responsible for conducting the initial analysis and research to identify and resolve any potential issues during the new business acceptance process. The CCA will work closely with the Conflict & Compliance Manager (CCM) to provide advice to APAC partners, attorneys, and staff on various regulatory compliance issues and risk management matters.
*This position can be located in either Hong Kong or Singapore.
RESPONSIBILITIES
Conflicts
Collaborate with the CCM to provide APAC partners/attorneys with clear and concise summaries of required steps to resolve and address any potential conflicts issues during the new business acceptance process, and facilitate the internal clearance process, where required
Conduct an initial review of conflicts search requests and collaborate with secretaries and submitters to obtain clear, precise, and relevant information
Analyze new clients and/or new matters to identify the potential risks associated with the instruction, and provide advice on remedial actions
Conduct conflicts checks using the firm’s conflicts database, paying close attention to special entries and sensitivities. Review the search results to identify potential issues and rule-out irrelevant hits, where appropriate
Compile and dispatch conflicts search reports, incorporating research and analysis from the firm’s internal conflicts database and external corporate research tools
Maintain a clear record documenting all conflicts research, communication with partners/attorneys and other internal stakeholders, analysis and conclusion of conflicts resolution in the firm’s new business acceptance system
Anti-money Laundering (AML)
Use external corporate research tools and online resources to research, identify, and verify new clients
Analyze and establish the corporate structure for clients and trace up the beneficial ownership and control structure, where appropriate
Provide support and advice to partners/attorneys and secretaries on the AML processes in APAC, including outlining further details and documentation required from the client and reviewing AML forms
Compile and organize AML documentation in a systematic manner
Coordinate the internal approval/clearance of AML checks from designated compliance officers in the APAC offices
Assist in ongoing monitoring of current clients and update client due diligence records, where required
Escalate high-risk or special cases to the CCM and designated compliance officers in the APAC offices for further review and approval
Compliance
Assist with initiatives aimed at improving the quality and quantity of information provided to partners taking on new clients and matters
Provide support to the CCM, CNB Department’s Management Team and firm’s committees on various regulatory compliance matters, including conducting external research on different rules and regulations
Provide support to the CCM in documenting regional/local compliance policies and procedures
Escalate any issues to the CCM and CNB Department’s Management Team as appropriate
Perform various special projects and duties as assigned
REQUIREMENTS:
Bachelor degree in law, business, or related discipline
Excellent command of written and spoken English essential
4-5 years’ conflicts/compliance experience, preferably in a law firm or financial services environment. Recent graduates with demonstrated potential may also be considered as APAC Conflicts & Compliance Assistant
Strong analytical, research, problem solving and interpersonal communication skills
Able to work under pressure and manage multiple projects with competing deadlines and priorities
Proficiency in using computers and searching databases and conventions
Knowledge of professional responsibility and AML rules/regulations is preferred
Preferred experience in corporate/database research
Knowledge and prior experience with Intapp Open is preferred
Job Code: WY/12324
For further details please contact Wilfred Yu or email your application to wy@charlottefrank.com
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