We are seeking a Compliance Analyst to join our global Compliance team. In this role, you will be responsible for conducting client due diligence reviews, assessing risk, and ensuring compliance with the firm's Anti-Money Laundering (AML) policies and procedures.
The Compliance Analyst plays a key role in supporting new client onboarding, ongoing monitoring of existing clients, and risk-based reviews across a diverse global client base. This position requires strong analytical and research skills, sound judgment, and the ability to communicate effectively with legal professionals, business services teams, and clients.
Successful candidates will have prior AML and client due diligence experience, a keen attention to detail, and the ability to manage complex matters in a fast-paced professional environment. In addition to handling sophisticated compliance reviews, Compliance Analysts serve as a resource to junior team members, contribute to process improvements, and participate in strategic team initiatives.
KEY RESPONSIBILIITES
- Review New Business Intake forms to ensure compliance with firm policies and regulatory requirements.
- Conduct client due diligence reviews for new and existing clients, including clients requiring enhanced due diligence.
- Research and analyze information from public sources, including company registries, stock exchanges, regulatory bodies, and external databases.
- Review client ownership structures, business activities, and other relevant information to assess risk and support compliance requirements.
- Conduct screening of clients, directors, and shareholders to identify politically exposed persons, sanctions concerns, criminal activity, and adverse press.
- Assess client risk and escalate concerns, findings, or potential issues as appropriate.
- Perform ongoing monitoring and periodic reviews of existing clients to ensure due diligence records remain accurate and current.
- Liaise with legal staff, support staff, research teams, and clients to obtain and verify required documentation and information.
- Document due diligence findings and risk assessments in a clear, concise, and well-supported manner.
- Review adverse press results and determine whether escalation or additional review is required.
- Maintain accurate client information within firm systems and databases.
- Provide guidance to partners, fee earners, and business services professionals regarding AML and client due diligence requirements.
- Review work completed by Compliance Assistants and Junior Compliance Analysts and provide coaching and support as needed.
- Participate in and lead departmental projects, process improvements, and team initiatives.
- Deliver presentations and knowledge-sharing sessions on compliance-related topics.
- Assist team members with complex client reviews, investigations, and compliance questions.
- Lead discussions regarding compliance requirements with senior stakeholders, including General Counsel representatives where appropriate.
- Handle sensitive and high-pressure situations with professionalism, sound judgment, and a solutions-oriented approach.
- Perform other duties as assigned.
QUALIFICATIONS
SKILLS NEEDED
- Strong knowledge of AML regulations, client due diligence requirements, and risk-based review processes.
- Exceptional analytical, research, and problem-solving skills.
- Strong attention to detail and commitment to accuracy.
- Excellent written and verbal communication skills.
- Ability to manage multiple priorities and meet deadlines in a fast-paced environment.
- Demonstrated ability to work independently while collaborating effectively within a team environment.
- Ability to maintain confidentiality and exercise sound judgment when handling sensitive information.
- Strong organizational skills and commitment to delivering high-quality internal client service.
- Proficiency in Microsoft Word and Excel.
EDUCATION & EXPERIENCE
Three (3) years of experience conducting AML, client due diligence, risk assessment, or compliance reviews.
- Experience within a law firm, professional services environment, financial institution, or other regulated industry preferred.
- Experience reviewing complex ownership structures, adverse press, sanctions screening results, and higher-risk clients preferred.
- Bachelor's degree preferred, particularly in a field emphasizing research, analysis, and critical thinking.
HOURS
Core hours are Monday through Friday, 9:00 a.m. - 5:30 p.m., including one hour for lunch.
In Denver, the expected base salary range for this role is $48,000 - $59,900 per year.
This range reflects a good-faith estimate of pay at the time of posting; the actual compensation offered may vary depending on factors such as the candidate’s qualifications. This position is eligible for additional forms of compensation, which may include annual discretionary bonuses. Employees in this role are also eligible for benefits offered by the firm, subject to applicable plan terms and conditions, which currently include medical, dental, and vision insurance; a 401(k)-retirement plan; and paid time off. Please review this link for more information regarding employee benefits in the United States.
This job description sets forth the responsibilities of this position and may be changed from time to time as shall be determined.
Hogan Lovells Cadwalader 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 Cadwalader 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 [email protected].
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