Compliance / Risk Analyst (KYC)

  • Location: New York, New York
  • Type: Direct Hire
  • Job #400

POSITION: Compliance / Risk Analyst (KYC)

ORGANIZATION: Elite International Law Firm

COMPENSATION & BENEFITS: Base salary up to $95K, plus generous paid overtime and performance-based bonus, benefits including Medical, Dental and Vision Coverage; Paid Time Off; 401K; Life and AD&D Insurance; Savings Accounts; Corporate Gym Memberships; Travel Reimbursement; etc.

LOCATION: New York, New York | San Francisco, CA | Chicago, IL | Boston, MA | Washington, D.C.

SUMMARY: The Compliance / Risk Analyst provides direct support to the entire Risk & New Business Management Department. This role is responsible for analyzing documents and data, conducting complex research, meeting the Firm's compliance requirements and facilitating effective new and prospective client risk assessment.

KEY RESPONSIBILITIES:

  • Review and follow up on documentation and information to meet the Firm's compliance requirements
  • Identify and address non-compliance and risk assessment issues with management and partners
  • Update documentation and databases to keep current with compliance status of clients, the department and Firm's guidelines and procedures, as well as new regulations and requirements
  • Prepare formal responses to audit inquiry letters from clients, including entering, tracking, and assigning letters
  • Provide guidance and training to partners and staff regarding the Firm's compliance procedures and requirements
  • Monitor internal information to ensure compliance with IRS
  • Monitor and processes all Attorney Registration forms for domestic offices
  • File lobbying disclosure reports for the firm or attorneys functioning as lobbyists 
  • Research documents involving any new clients, and their Registered Agent
  • Assist clients and Firm with preparation of responses to formal requests for information from FINRA Compliance
  • Handle multiple complex client analysis projects
  • Understand and respond to inquiries from partners, other attorneys as well as staff and demonstrates this understanding through the use of effective communication 

QUALIFICATIONS:

  • Bachelor’s Degree required
  • Prior experience in a law firm or related environment 
  • Knowledge of relevant firm computer software programs (e.g., Word, Outlook, Excel, PowerPoint), with the ability to learn new software and operating systems
  • Excellent analytical, troubleshooting, organizational, and planning skills
  • Demonstrates effective interpersonal and communication skills, both verbally and in writing
  • Ability to read, interpret and follow instructions; organize and prioritize work
  • Ability to handle multiple projects and shifting priorities; work well in a demanding and fast-paced environment
  • Ability to handle sensitive matters and maintain confidentiality
  • Ability to work well independently as well as effectively within a team
  • Ability to use discretion and exercise independent and sound judgment
  • Flexibility to adjust hours and work the hours necessary to meet operating and business needs

TO APPLY: If your experience meets the requirements of this position, please submit your resume in Word format.