Compliance Specialist

4 weeks ago

London, United Kingdom Gibson, Dunn & Crutcher LLP Full time

Gibson Dunn is a leading global law firm, advising clients on significant transactions and disputes. Our exceptional teams craft and deploy creative legal strategies that are meticulously tailored to every matter, however complex or high-stakes. The firm’s work is distinguished by a unique combination of precision and vision.

Based in London, the Compliance Specialist’s primary responsibility will be to facilitate the onboarding of new clients and new matters primarily in the London office, in line with the Firm’s onboarding procedures, compliance policies, and U.K. regulations relating to Anti-Money Laundering (AML) and Client Due Diligence (CDD). The Compliance Specialist’s secondary responsibility will be to run and evaluate sanctions screening reports pertaining to proposed clients, related parties, and other parties involved in the proposed matter or transaction, and to resolve and/or escalate identified issues.

This role will report to a new London Risk and Compliance Counsel, with indirect (i.e., dotted line) reporting into the Firm’s London Money Laundering Risk Officer and the Firm’s global Compliance Manager.

Responsibilities include:

Ensure that the onboarding of new clients and matters comply with the Firm’s internal AML, CDD, and trade sanctions / export control policies. Review new client, new matter, and CDD forms submitted by Firm partners, as well as global screening reports generated through one or more third-party customer screening and risk intelligence tools, to verify compliance with AML, CDD, and trade sanctions / export control policies. Ensure CDD memos and supporting KYC documents are stored in the Firm’s central repository. Engage with Firm partners and other colleagues regarding AML/CDD requirements, and as needed or requested, engage with external clients regarding the same. Maintain adequate records regarding the status of collecting client, beneficial owner, client instructing individual, and third-party payor identity and identity verification documentation for new and existing clients. Monitor changes to AML rules and regulations in the U.K. and assist the Firm’s Compliance Officer, the London Risk and Compliance Counsel, and the London Money Laundering Risk Officer (MLRO) with updating/implementing applicable policies and procedures. Stay current on, and ensure compliance with, new developments in AML laws, regulations, and recommended procedures, guidance, and best practices; attend AML and trade sanctions courses and seminars as needed or directed. Perform routine monitoring of CDD documentation held for existing clients. Conduct training for new and existing attorneys and other relevant staff on the client intake processes, with particular focus on CDD and AML processes and procedures. Assist in the submission of AML questionnaires and annual AML returns as and when requested or required by local regulators and contribute as needed or requested to the preparation of the Firm’s AML risk assessments. Assist with the Firm’s internal compliance monitoring processes more broadly. Support the Risk and Compliance Counsel and Compliance Specialists, as applicable, providing assistance or coverage, as needed, during other colleagues’ annual leave. Participate in demos and planning discussions with respect to, and assist with testing and/or piloting of, new third-party or internally constructed software applications relating to client intake, AML compliance, CDD, trade sanctions and export control compliance, and client lifecycle management generally. General ad hoc duties; including but not limited to supporting compliance-related projects.

Qualifications

Ability to identify, resolve or escalate, and communicate regarding issues concisely and in a timely and effective manner. Ability to organise and prioritise multiple assignments in a fast-paced environment; work under pressure and complete job assignments in an accurate and timely manner; respond appropriately to shifting demands. Strong research, analytical, and problem-solving skills with attention to detail. Excellent written and oral communication and interpersonal skills and ability to interact effectively with a broad range of colleagues in a professional manner. Ability to work independently on most tasks.

Experience

Strong understanding and working knowledge of AML regulations and legislation in the United Kingdom, ideally from the perspective of a regulated non-financial institution / a designated non-financial business and profession (DNFBP). Minimum of three (3) years’ experience with compliance review and assessment of prospective client onboarding under U.K. AML regulations, with a proven track record and ideally with assumption of increasing responsibility in this area of work. Significant involvement in recommending decisions and resolution to senior stakeholders. Good understanding and working knowledge of compliance policies generally and AML/CDD policies and procedures. Understanding of company structures and organization details inside and outside the U.K., including with respect to publicly traded and privately held corporations, limited liability companies, partnerships, limited partnerships, limited liability partnerships, trusts, private equity funds, etc. Experience working in an international or other large law firm or for another DNFBP strongly preferred.

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