Review all information submitted on New Business Reports (NBR) for accuracy and completeness, namely ensuring; all required fields are populated, information provided is accurate and appropriate supporting documentation has been attached;
Make sound and educated decisions regarding the existence and validity of possible conflicts of interest and clearance of identified conflicts of interest through liaison with Firm Partners and offices;
Review Engagement or Assignment Letters for compliance with Firm and departmental guidelines and policies;
Ensure Standard Terms of Engagement are applied to all client engagements and, where applicable, ensure exceptions to Standard Terms of Engagement are tracked and recorded accordingly;
Conduct online investigation of prospective clients using on-line databases (such as Pacer, Lexis Nexis, etc.), business intelligence databases (D&
B, Hoovers), Government Watch Lists (Worldcheck) and the Internet (Google). This research facilitates the identification of high risk and negative findings, which must be communicated to CMID Management and Risk Management.
Determine whether the attorney has met all ethical requirements and assess the risk / cost of the potential assignment against the benefits of accepting new business.
Any questions concerning the risk / cost of the potential assignment should be escalated to CMID Management, Risk Management and / or the Director, PRPC;
Provide input and support on the lateral and contract attorney hiring processes with regard to conducting background searches, due diligence, and conflict of interest analysis, reporting and clearance;
Engage and collaborate with team members through the presentation of ideas and recommendations regarding best practice, continuous improvement, departmental processes, policies and procedures;
Provide assistance on important projects, when required.
Required Experience :
Ability to conduct in-depth due diligence background searches and conflict checking using conflict search tool (CST) within IntappOpen and to ensure appropriate conflict resolution and clearance is provided, where appropriate;
Working knowledge of suspicious activity reporting requirements and KYC investigative techniques, regulations, investigations and affiliated technology;
Compliance, due diligence, risk management and AML / KYC in addition to experience in or exposure to auditing, investigations and project management experience;
Knowledge of American Bar Association (ABA) Rules;
Knowledge of U.S. federal laws and guidelines regarding Anti-Terrorist Financing / Anti-Money Laundering laws and related laws and regulations, including OFAC regulations, U.
S. Patriot Act, Bank Secrecy Act (BA), U.S. Treasury's anti-money laundering guidelines and understanding of legal ethics and professional responsibility requirements;
Ability to make effective, accurate decisions, judgment calls and reliable recommendations in collaboration with the Management, where necessary;
Professionalism and the ability to influence in a positive manner;
Excellent interpersonal skills with a positive customer service oriented attitude;
Excellent time management and organizational skills, with the ability to work well under pressure, manage workloads, meet deadlines and prioritize efficiently;
Exceptional problem solving, critical thinking, and analytical skills;
Excellent written and oral communication skills demonstrated in interactions with all colleagues throughout the Firm as well as Partners and Management;
Competent computer skills (Microsoft Windows, Outlook, Excel, Word, PowerPoint).
Note : Induction and on-going training will be provided on all internal systems and processes)
Minimum, a Bachelor's Degree with 2 or more years of experience working in a legal or financial environment, preferably with a focus on client / business intake / on-
boarding, conflict analysis, compliance, risk or AML / KYC;
Knowledge of U.S. Anti-Terrorist Financing / AML / KYC and OFAC experience preferable.