This candidate is an accomplished Senior Conflicts professional with experience dating back to 2019. They have an impressive career track record with Compliance experienced gained within Magic Circle, Silver Circle & Offshore law firms which has given them a fantastic range of Conflicts knowledge at a very high level.
Whilst they very much enjoy their role at the firm, they feel it is time for a change of scenery. They would like to move into a role where they can have a real impact on a firm's risk & compliance function.

Experience

Conflicts Advisor | Silver Circle Law Firm | May 2022 - Present
Jul 2024 - Present
Conflicts Analyst | May 2022 - Jun 2024

• Conduct time-sensitive conflict checks on incoming matters and lateral hire checks using InTapp Open at all levels of complexity.
• Resolve issues by implementing information barriers, carving out conflicting work, suggesting client terms
• Run preliminary KYC searches to identify reputational, money laundering/proceeds of crime and sanctions issues
• Escalate and resolve complex conflicts, sanctions, and reputational and client acceptance issues with input from senior stakeholders.
• Draft reports analysing and condensing the legal and commercial conflicts position, reputational issues and large datasets of financial information.
• Liaise with partners globally ensuring the confidentiality of sensitive information
• Set up and manage information barriers. Monitor a dedicated inbox, and respond to queries, incl. technical troubleshooting
• Review security trading requests against the firm's database of price-sensitive information
• Handle partner and client grievances in relation to conflicts management.
• Investigate past clearances to identify errors and learning points.
• Advise on regulatory consequences and support partners in client conversations
• Review conflict provisions in client-provided terms against firm guidelines, taking into account legal compliance, practicality and commerciality in the context of the firm's growth strategy.
• Draft bespoke conflict terms to reflect the agreed scope of work, sanctions considerations and other clearance conditions
• Take initiative to improve internal processes, draft internal policies and guidance notes
• Advise the firm on early-stage implementation of AI solutions within New Business Intake teams in terms of data management, available software and legal implications
• Provide basic conflicts training to all new joiners globally

Compliance Services Analyst | International Law Firm | Dec 2021 - May 2022

• Conducted internal AML screening on clients of Walkers law firm and corporate services lines and on fund investors (for external clients) with a focus on offshore-incorporated (Cayman, Jersey, BVI, Guernsey, Ireland) funds, trusts, and investment vehicles.
• Researched the ownership and control structures of entities to identify ultimate beneficial owners, conducted source of wealth and funds checks, and analysed other regulatory and reputational risks.
• Applied the correct level of due diligence measures and ensured records were updated and maintained. Liaised with partners, relationship managers and clients to obtain the necessary KYC documentation
• Conducted sanctions compliance review on new and existing matters with a Russian nexus in response to the changes in the sanctions regime in Spring 2022
• Sat on the Country Risk Ongoing Monitoring Working Group. Reviewed global sanctions risks on an ongoing basis and analysed their impact on general country risk assessments to provide updated guidance to analysts and a risk score for an automated risk assessment calculator tool
• Maintained the department's knowledge intranet site

Business Acceptance Analyst (Risk and Compliance) | Leading Global Law Firm | Sep 2019 - Dec 2021
Oct 2020 - Dec 2021
Conflicts:

• Worked in a centralised team conducting conflict checks on new clients and mandates on low and medium-risk checks.
• Liaised with secretaries and fee earners when information was incomplete.
• Conducted further research where there were red flags and provided a detailed analysis of findings.
• Prepared reports and escalated higher-risk conflicts.
• Set up information barriers
• Used appropriate waiver templates and amended them as appropriate

AML:

• Conducted research into companies including those from high-risk jurisdictions and with complex structures to establish beneficial ownership and control, source of wealth checks and screen clients for politically exposed persons, sanctions issues and other regulatory and reputational risks and apply the correct standard of due diligence measures. Provide practical and prompt advice and assistance to fee-earners and other professional staff in relation to AML compliance and sanctions risks, including CDD obligations.
  Ensure clearances are given in accordance with firm policies
• Provided external training to other departments and internal training, mentoring, supervision and support to new joiners, acting as a point of escalation to junior analysts and paralegals. Supervised and considered first-level escalations from teams working on external audits in relation to process and level of information required to satisfy the requirements of the regulators
• Discussed high-risk business intake requests with stakeholders on all levels of seniority, including the global leadership team. Negotiated (or facilitated negotiations) with stakeholders to achieve successful clearance outcomes (often subject to bespoke client engagement conditions) for individual partners and teams and for the firm as a whole
• Internal departmental contact for Industrials, Financial Sponsors and Energy, Resources and Infrastructure sectors
• Took initiative to improve internal procedures, e.g. client CDD re-verification processes, sanctions monitoring, and German notarial files, by identifying deficiencies and designing solutions
• Achieved full sign-off to conduct checks without supervision within 3 months of initial training (usual timeline is 9-12 months) and met request processing targets beyond my level of experience
• Nominated for and participated in coaching and junior managerial courses within the firm
• Involved in firm D&I and responsible business initiatives, such as the Stephen Lawrence Scholarship Scheme

AML Risk Analyst (Risk and Compliance) | Oct 2019 - Oct 2020

• Conducted ongoing CDD and AML reviews on existing clients as required by current AML regulations
• Juggled a workload of client re-verifications and ad hoc assistance to the broader team on live work
• Assisted in reporting and internal and external audit exercises by reviewing and updating client files to strict deadlines

Paralegal (Legal Services Hub; temporary role) | Sep 2019

• Reviewed documents for a DSAR review for a tax dispute. Reviewed ca. 300 - 700 files per day using Eclipse SE

Paralegal (Project-based) | Global Law Firm | Sep 2019 - Sep 2019

• Assisted with a disclosure document review for a trademark dispute. Reviewed ca. 500-800 files per day using Relativity

Litigation Paralegal (Project-based) | Leading Law Firm | Jan 2019 - May 2019

• Reviewed documents for a litigation project comprising 100,000+ claimants to strict deadlines. Liaised with clients by phone and email to resolve inconsistencies and errors in individual applications
• Carried out client due diligence checks, including ID and AML checks

Litigation Paralegal (Project-based) | Boutique Law Firm | Nov 2018 - Jan 2019

• Managed own workload of claims within a high-profile group litigation process to meet court deadlines
• Interviewed clients and drafted Schedules of Information, processing client files in a confidential manner and in compliance with data protection laws. Provided case updates

Paralegal | Global Claims Management Company | Apr 2017 - Dec 2017

• Assessed claims' eligibility for compensation under the Flight Compensation Regulation. Daily caseload of 25-35 claims; surpassed targets by 20%-40% and maintained high (90%+) quality scores
• Prepared and filed cases in Danish courts. Prepared legal documents such as powers-of-attorney, conditional fee agreements and letters before action (in English). Collated documents for legal action in multiple jurisdictions
• Cooperated with other departments to develop GDPR training and guidance as part of firmwide GDPR implementation

Legal Intern | Embassy | Apr 2016 - Sep 2016

• Attended diplomatic meetings at international organisations in the Hague. Developed note-taking skills, translated and drafted reports for use by the Ministry of Foreign Affairs
• Drafted reports on various areas of law (labour, social security, taxation, media, etc.) in the Netherlands
• Prepared daily updates on the political, social and economic situation of the Netherlands Non-legal Work History

Education

LLM Legal Practice | Sep 2018 - Jan 2021
Graduate Diploma in Law | Jan 2018 - Sep 2018
LLB International and European Law | Sep 2012 - Sep 2016