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Legal Compliance Analyst
1 month ago
The Legal Compliance Analyst will be responsible for assisting with various Legal and Compliance functions, including (i) the review of borrower documentation, to aid the company in meeting its AML/KYC and corporate authority review requirements, (ii) creating, modifying or customizing loan related documentation and templates, (iii) assist with corporate maintenance and recordkeeping, and (iv) assisting in the development, maintenance, monitoring and enforcement of an effective compliance program, as required by applicable ethical and regulatory requirements.
Principal Duties:
Borrower Underwriting/AML KYC/Entity Reviews
- Review and interpret borrower documentation, including but not limited to organizational documents, to ensure the company understands entity ownership and management for AML program and corporate authority review purposes.
- Run background reports and review for compliance issues, credit concerns and legal issues. Research issues through various investigative tools and sources to vet out mispins and assess the probability of actual customer matches. Provide additional documentation for escalations to Compliance, Credit or Legal. Significant discretion is required for this due diligence function.
- Set up and review alerts on updates to background reports.
- Monitor and ensure appropriate and accurate completion of Customer Identification Program (CIP) and Customer Due Diligence (CDD) for new clients.
- Review and chart entity relationships, including complex legal structures involving multiple entities, investors, lenders, and equity incentive holders.
- Research Secretary of State websites to verify entity status prior to loan funding.
- Upload information as needed to the appropriate technology system.
- Maintain and update department procedures for AML program related duties.
- Act collaboratively with business partners to answer questions, and/or assist in arriving at the most effective and efficient resolution to comply with regulations and mitigate risk.
- Stay abreast of pertinent regulatory and compliance issues and ensure adherence with related laws and regulations.
- Protect all customer information and institution assets and comply with privacy and acceptable use policies.
Loan Documentation/Template and Form Maintenance
- Create, modify, or customize loan-specific documents and document templates, including but not limited to: Loan Agreements, Notes, Deeds of Trusts, Loan Agreement addendums, pledge agreements, Notices of Default, Non-disclosure agreements, cross-collateralization agreement.
- Ensure document templates and records are securely stored in the company’s system.
Corporate Recordkeeping
- Maintain internal corporate records for various business entities and coordinate with registered agent vendor to ensure timely and accurate filing of business forms and reports.
General Legal and Compliance
- Assist in preparation of regular reporting and tracking of legal and compliance issues and initiatives.
- Assist the team in developing and enhancing the company’s legal and compliance programs to meet legal and regulatory requirements by creating and implementing internal control systems, policies, and procedures to prevent or deal with violations of legal guidelines, internal policies, and contracts.
- As appropriate, bring compliance issues to the attention of Compliance Officers and assist in designing and coordinating corrective action.
- Coordinate changes to policy and procedural documents and related processes required as a result of changes to laws and regulations.
- Track legal and regulatory developments and adopt industry best practices.
*These essential functions are fundamental to the role, and must be performed on-site, as they cannot physically be performed remotely. In addition, the Company has determined that an in-person presence is important to critical components of our work, including oversight, training, collaboration, and productivity. Items not marked (*) as essential on-site may still require partial on-site work to perform the role satisfactorily.
Education and Experience
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
The right candidate should have 1-3 years of relevant experience and possess the following qualifications and experience:
- Bachelor’s degree.
- Paralegal certification a plus.
- Relevant legal/compliance experience and/or commercial real estate/lender background (including understanding of requirements to form corporations partnerships and LLCs in various states) a plus.
- Strong attention to detail.
- Follows direction easily.
- Ability to operate effectively and adapt quickly in a fast-paced work environment.
- Able and willing to handle a variety of tasks across a broad range of substantive areas and to learn new areas quickly.
- Excellent analytical, time management and organizational skills and ability to manage multiple tasks concurrently and self-prioritize workload to meet deadlines.
- Critical thinking to present material information and identify risks and appropriately escalate.
- Ability to research legal and business issues.
- Strong business acumen partnered with a dedication to legality.
- Strong communication and interpersonal skills, self-motivated/results-oriented, with the ability to function effectively within a team environment with minimal supervision.
- Proficient/Advanced in Microsoft Office produces with an emphasis on Excel, Word, and PowerPoint.
- Collaborative, proactive attitude.
Knowledge, Skills, and Abilities
- Self-motivated with strong desire to succeed
- Detail oriented and organized with ability to multi-task
- Excellent time management and multi-tasking skills
- Team Player
While this description is intended to be an accurate reflection of the position’s requirements, it in no way implies/states that these are the only job responsibilities. Management reserves the right to modify, add or remove duties and request other duties, as necessary.
By applying to this position candidate acknowledges that this is not a remote role and is required to be on-site.
Equal Employment Opportunity
We're proud to be an equal opportunity employer- and celebrate our employees' differences, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, and Veteran status. Different makes us better.
