Senior Compliance Analyst

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The role of a Senior Compliance Analyst is primarily to conduct CDD on new clients and ensure that the relevant AML policies and procedures to which the firm adheres to are always fulfilled. A Senior Compliance Analyst will be required to review work completed by Compliance Assistants and Junior Compliance Analysts and demonstrate basic leadership skills. A Compliance Analyst will also be required to conducting ongoing monitoring on existing clients of the firm and coordinate work on an ad hoc basis. In addition, Compliance Analysts are required to participate or lead with complex team projects.

JOB DESCRIPTION

• Review New Business Intake forms submitted by the International LLP.
• Ensure CDD has been gathered to the appropriate standard for all new client registrations, including those clients for whom enhanced due diligence is required.
• Conduct a degree of personal research from public sources including:
  • Familiarization with a wide array of potential sources such as company registries, stock exchange websites, financial and legal regulators' websites, company search providers and external databases.
• Liaise with legal staff, support staff and research teams to obtain any outstanding CDD information.
• Liaise with Hogan Lovells support departments, notably the Finance, Research, Conflicts and Personal Assistants.
• Where appropriate and where asked to, liaise directly with the firm's clients regarding CDD requirements.
• Document the evidence obtained during the CDD process in a clear and concise manner.
• Conduct risk rating reviews on clients considering the information gathered during the CDD process including research relating to ongoing investigations (adverse press) against certain clients and determining whether a risk level of a client may be lowered or should be raised.
• Utilize external subscription databases to screen clients, their directors and shareholders in order to identify PEPs, influential persons, presence on Sanctions lists, criminal activity and adverse press. Escalate these issues where appropriate.
• Investigate co-client related party checks to ensure that new matters for existing clients are registered correctly and gather CDD for those related parties when necessary.
• Obtain verify and record clients EC VAT numbers when necessary.
• Review adverse press generated on the firm’s existing clients. Discount false positive hits or escalate serious hits to the firm’s General Counsel’s Office and the relevant fee earner.
• Ensure that CDD is updated to the appropriate standard, including an enhanced level of due diligence where required.
• Update and maintain 3E, including client names and addresses.
• Assist in maintaining the firm's PEP databases.
• Provide advice and guidance to partners, fee-earners and support staff in relation to the requirements of Compliance legislation and the interpretation and application of the firm's AML/CDD policy.
• Demonstrate basic leadership skills and act as a mentor to junior team members.
• Provide advice and guidance to junior team members.
• Participate or lead in administrative projects.
• Participate or lead in complex team projects.
• Prepare and deliver presentations to the wider Compliance Team on a variety of topics.
• Other duties as assigned.
• All members of the firm are expected to participate in the firm’s Global Citizenship Program
• Assist all Compliance team members with complex clients and queries
• Lead new initiatives of the team
• Ability to handle complex high pressure situations and take the necessary steps to resolve the issue in a timeous manner
• Attend to Risk Reviews
• Own and lead projects and responsible for project outcome
• Lead conversations with General Counsel or MLRO of certain locations regarding Compliance requirements

QUALIFICATIONS

REQUIRED SKILLS

• Strict attention to detail is a must. 
• Must also possess strong organizational and communication (both written and verbal) skills. 
• Must be responsible for completing tasks and following through with the resolution of issues, including the ability to meet deadlines and work in a fast-paced environment. 
• Demonstrated ability to meet obligations with confidentiality, integrity and sensitivity
• Must deliver high quality client service to our internal customers
• Must have Microsoft Word and Excel skills.

EDUCATION, CERTIFICATIONS AND/OR EXPERIENCE

• Bachelor’s degree preferred, especially in political science, humanities field, or other field that emphasizes cr