Hogan Lovells
Hogan Lovells is seeking a Junior Compliance Analyst to conduct Client Due Diligence (CDD) on new clients of the firm according to the requirements set out in the firm's anti-money laundering (AML) policies and procedures. The Professional Standards & Compliance department, with team members in London, Johannesburg and Louisville, is responsible for conducting due diligence on new clients and for providing compliance support and guidance throughout the firm. The Junior Compliance Analyst is principally responsible for the provision of research and conducting due diligence on new clients for the firm's offices in the United States, Mexico, and South America as part of the New Business Intake process, and for ensuring that the relevant policies and procedures to which the firm subscribes are adhered to at all times.
ROLES & RESPONSIBILITIES
Review submitted New Business Intake forms
Ensure CDD has been gathered to the appropriate standard for new client registrations, including those clients for whom enhanced due diligence is required
Conduct a degree of personal research from public sources, which involves a familiarization with a wide array of potential sources, including company registries, stock exchange websites, financial and legal regulators\' websites, company search providers and external databases
Liaise with lawyers, assistants, and research teams to obtain any remaining CDD information
Where appropriate, liaise directly with the firm\'s clients regarding CDD requirements
Document the evidence obtained during the CDD process in a clear and concise manner
Ensure CDD has been gathered to the correct standard in order to approve alterations in the client name or registered address, reactivate inactive clients or alter the CDD standard setting
Liaise with the Financial Information Resource Management (FIRM) team to update client records, including client names and registered addresses, CDD status and current/inactive status
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 CDD policy
Investigate co-client related party checks to ensure that new matters for existing clients are registered correctly and gather CDD for those related parties where necessary
Liaise with Business Team departments, notably the Finance, Knowledge, Conflicts, and IT departments
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
Conduct personal research and liaise with fee earners and support staff in order to allocate a relevant industry code to each new client
Maintain the firm\'s politically exposed persons databases
Participate in administrative projects under the supervision of more senior Compliance team personnel
Participation in the firm’s global Responsible Business program
All other additional duties as assigned
As the Junior Compliance Analyst becomes more experienced, he/she may:
Participate in the Retrospective Review project, which involves conducting CDD to the current standard on all active clients of the firm registered prior to the implementation of the UK Money Laundering Regulations 2007 or refreshing the CDD held for clients registered since the implementation of the Regulations
Prepare and deliver presentations to the wider Compliance team on a variety of topics, including detailed investigations into unusual company structure types, refresher presentations on team precedents and procedures and new available sources
QUALIFICATIONS REQUIRED SKILLS
Must possess excellent organizational and communication skills
Strong computer skills, including Microsoft Suite and internet research
Must be responsible for completing tasks and following through with the resolution of issues
Ability to juggle various assignments, produce accurate documents in a fast-paced, deadline-oriented environment
Solid interpersonal skills, professional presentation, and the ability to interact well with all internal and external personnel
Demonstrated ability to meet obligations with confidentiality, integrity and sensitivity
Must deliver high quality client service to our internal customers
Knowledge and proficiency in second language desirable
EDUCATION, CERTIFICATIONS, AND/OR EXPERIENCE
Bachelor\'s degree in a field that emphasized critical writing and research skills preferred
Experience working in a professional services environment preferred
HOURS
Core hours are Monday through Friday, either 9:00 a.m. – 5:30 p.m. or 10:00 a.m. – 6:30 p.m., including a one hour lunch. Must be flexible to work additional hours as needed, including evenings and weekends based on firm needs.
The annualized salary range for this position is $42,000 to $47,500 depending on the candidate\'s overall experience and other job-related factors permitted by law. Full time employees may be eligible for a discretionary bonus. In addition, full time employees as well as some part time employees, will be eligible for the firm\’s fringe benefits as they currently exist.
This job description sets forth the responsibilities of this position and may be changed from time to time as shall be determined.
Hogan Lovells is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, pregnancy, age, national origin, disability, sexual orientation, gender identity or expression, marital status, genetic information, protected Veteran status, or other factors protected by law.
Hogan Lovells complies with federal and state disability laws and makes reasonable accommodations for applicants and candidates with disabilities. If reasonable accommodation is needed to participate in the job application or interview process, please contact our Benefits Department at LeaveofAbsence_US@hoganlovells.com.
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ROLES & RESPONSIBILITIES
Review submitted New Business Intake forms
Ensure CDD has been gathered to the appropriate standard for new client registrations, including those clients for whom enhanced due diligence is required
Conduct a degree of personal research from public sources, which involves a familiarization with a wide array of potential sources, including company registries, stock exchange websites, financial and legal regulators\' websites, company search providers and external databases
Liaise with lawyers, assistants, and research teams to obtain any remaining CDD information
Where appropriate, liaise directly with the firm\'s clients regarding CDD requirements
Document the evidence obtained during the CDD process in a clear and concise manner
Ensure CDD has been gathered to the correct standard in order to approve alterations in the client name or registered address, reactivate inactive clients or alter the CDD standard setting
Liaise with the Financial Information Resource Management (FIRM) team to update client records, including client names and registered addresses, CDD status and current/inactive status
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 CDD policy
Investigate co-client related party checks to ensure that new matters for existing clients are registered correctly and gather CDD for those related parties where necessary
Liaise with Business Team departments, notably the Finance, Knowledge, Conflicts, and IT departments
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
Conduct personal research and liaise with fee earners and support staff in order to allocate a relevant industry code to each new client
Maintain the firm\'s politically exposed persons databases
Participate in administrative projects under the supervision of more senior Compliance team personnel
Participation in the firm’s global Responsible Business program
All other additional duties as assigned
As the Junior Compliance Analyst becomes more experienced, he/she may:
Participate in the Retrospective Review project, which involves conducting CDD to the current standard on all active clients of the firm registered prior to the implementation of the UK Money Laundering Regulations 2007 or refreshing the CDD held for clients registered since the implementation of the Regulations
Prepare and deliver presentations to the wider Compliance team on a variety of topics, including detailed investigations into unusual company structure types, refresher presentations on team precedents and procedures and new available sources
QUALIFICATIONS REQUIRED SKILLS
Must possess excellent organizational and communication skills
Strong computer skills, including Microsoft Suite and internet research
Must be responsible for completing tasks and following through with the resolution of issues
Ability to juggle various assignments, produce accurate documents in a fast-paced, deadline-oriented environment
Solid interpersonal skills, professional presentation, and the ability to interact well with all internal and external personnel
Demonstrated ability to meet obligations with confidentiality, integrity and sensitivity
Must deliver high quality client service to our internal customers
Knowledge and proficiency in second language desirable
EDUCATION, CERTIFICATIONS, AND/OR EXPERIENCE
Bachelor\'s degree in a field that emphasized critical writing and research skills preferred
Experience working in a professional services environment preferred
HOURS
Core hours are Monday through Friday, either 9:00 a.m. – 5:30 p.m. or 10:00 a.m. – 6:30 p.m., including a one hour lunch. Must be flexible to work additional hours as needed, including evenings and weekends based on firm needs.
The annualized salary range for this position is $42,000 to $47,500 depending on the candidate\'s overall experience and other job-related factors permitted by law. Full time employees may be eligible for a discretionary bonus. In addition, full time employees as well as some part time employees, will be eligible for the firm\’s fringe benefits as they currently exist.
This job description sets forth the responsibilities of this position and may be changed from time to time as shall be determined.
Hogan Lovells is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, pregnancy, age, national origin, disability, sexual orientation, gender identity or expression, marital status, genetic information, protected Veteran status, or other factors protected by law.
Hogan Lovells complies with federal and state disability laws and makes reasonable accommodations for applicants and candidates with disabilities. If reasonable accommodation is needed to participate in the job application or interview process, please contact our Benefits Department at LeaveofAbsence_US@hoganlovells.com.
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