Compliance Analyst

Profile

Compliance Analyst
The candidate will report to the Manager, Risk Management Compliance. Interact with the entire Risk Management Department including Business Intake Conflicts, Calendar/Court Services and Information Governance personnel. Prepare formal responses to audit inquiry letters from clients, including entering, tracking, and assigning letters; retrieve and maintain all relevant historical information; survey and compile responses from attorneys; manage telephone conferences with auditors and/or clients; research using the firm's financial and conflict of interest databases; research using the Internet; and synthesize, distill and compile all these disparate bits of information and/or disclosures from attorneys and various other sources into a comprehensive final response. Process, monitor, verify and file all Attorney Registration forms for domestic offices within the Firm, including specialized registrations for tax and intellectual property attorneys. Process, monitor internal information about corporate matters so that relevant data is tracked and filed with the IRS. File lobbying disclosure reports for the firm generally and specifically for any attorney who functions as a lobbyist. Assist clients and the Firm with preparation of responses to formal requests for information from the Financial Industry Regulatory Authority (FINRA). A college degree with some work experience is preferred. Law firm experience is a plus.

Company info

Sign Up Now - EmploymentCrossing.com