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Senior Analyst, Compliance

3 months ago

New York, United States White & Case Full time
Firm Summary

White & Case is an elite global law firm serving leading companies, financial institutions and governments worldwide. Our long history as an international firm means we are perfectly placed to help our clients resolve their most complex legal challenges wherever they may be.

With lawyers operating from more than 40 locations, working in virtually every country of the world, we have invested heavily in building a high-quality full-service practice competing at the top of the market. We are distinguished by our on-the-ground presence in the world's key financial markets and our strengths in handling complex cross-border work.

It's not just about our global network of offices; it's the global interconnectedness of the Firm that our people, and our clients, value most. We work well together across geographic and practice boundaries. It's one of the reasons we attract and retain cross-border work. And why we attract a diverse group of people.

Our lawyers are globally minded, enterprising, collaborative and committed to excellence. Diversity is a core value of our Firm and it has been recognized with numerous awards and top rankings around the world. Our people represent 90 nationalities and speak 80 languages.

Position Summary

Work with Compliance Leadership and the Office of the General Counsel ("OGC") to help ensure Firm employees and Partners remain in compliance with Firm policies and procedures, legal rules and regulations. The work involves handling a broad range of risk and compliance responsibilities and projects. Key aspects include monitoring developments in law relevant to attorney advertising and reviewing Firm publications for compliance; assisting with analysis and approvals of Securities Trades; and working to prepare client audit reponses and responses to regulatory inquiries relating to Firm matters. Specific responsibilities described below may vary depending on the needs of the Compliance Team.

Our Compliance Team

Every minute of the day, a White & Case lawyer is practicing law somewhere in the world. Our compliance team expedites all compliance procedures relating to the opening of matters including, the maintenance of ethical screens, preparation of Insider Lists, and the collection of client engagement agreements and outside counsel guidelines. Additionally the team handles the processing of securities trades and enforcement of global restricted securities protocols. Combining both sound risk analysis and effective communication skills, you will support the OGC and collaborate with other business services teams around the world and across our business.

Duties and Responsibilities
  • Analyze conflicts searches generated from Firm's client database in response to securities trade requests, and generate searches as needed.
  • Review client audit inquiries and assist attorneys in responding to same.
  • Facilitate ethical screen maintenance, including resolution of conflicts, and other on-going maintenance issues.
  • Review, analyze, and profile key terms in engagement agreements and outside counsel guidelines.
  • Coordinate review and analysis of marketing materials and publications to ensure no conflicts of interest and no violations of attorney advertising rules.
  • Support Director and team with oversight and auditing of the Restricted Securities List. Facilitate all functions of Insider List preparation, tracking and necessary screen implementation.
  • Work with OGC to prepare responses to regulators including FINRA and CONSOB (as needed).
  • Assist team members and legal staff with resolving compliance issues using appropriate resources for investigation, resolution and/or approval.
  • Ensure compliance with Firm and Departmental processes, legal rules and regulations.
  • Supervise, train, and assist Junior Compliance Analysts in the performance of their duties.
  • Provide support for the development and delivery of compliance and risk management training programs run by Compliance and/or OGC.
  • Assist Compliance Leadership with weekly auditing, generation of reports, support on business services initiatives and special requests from legal teams, Partners and General Counsel.
Qualification
  • Three to five years' experience in a law firm, preferably in a Law Firm Conflicts department or General Counsel's office or comparable paralegal experience.
  • Understanding of ethics and conflicts rules, ethical screens, and insider lists.
  • Familiarity with regulatory filings and relevant government systems.
  • Ability to work well under pressure and deadlines while prioritizing workload with limited oversight.
  • Attention to detail and excellent organizational skills.
  • Effective interpersonal skills and the ability to interact with people at all levels.
  • Pragmatic, self-motivated, flexible and able to work both in team and individually as required.
  • Willingness to take on additional tasks as and when required.
  • Excellent IT skills, including proficiency in MS Office, ideally experience of iManage/document management systems.
  • Knowledge of Intapp Wallbuilder and Intapp Intake and Conflicts desirable.
Location and Reporting
  • This role is based in New York.
  • This role reports to the Senior Manager of Compliance.
Equal Opportunities

White & Case is an Equal Employment Opportunity (EEO) employer and is committed to creating a diverse and inclusive workplace. It is our Firm's policy to recruit, employ, train, compensate and promote without regard to race, color, religion, creed, national origin, age, gender, sexual orientation, marital status, military or veteran status, disability, genetic information, or any other category protected by applicable law.

Applicants who are interested in applying for a position and require an accommodation during the process should contact talent.acquisition@whitecase.com.

Benefits at White & Case

White & Case LLP offers a comprehensive suite of benefit programs to all eligible employees, including medical, dental, and vision insurance, life and disability coverage, 401(k) retirement savings, vacation time, and leave programs (including parental leave). Exempt roles are also performance bonus eligible.

The Firm may modify and amend this job description at any time at its sole discretion. Nothing herein creates a contract of employment or otherwise modifies the at-will nature of employment.

1The above is a general description of the essential duties aspsociated with this position and does not represent an exhaustive or comprehensive list of all duties.