Compliance Specialist

vor 3 Wochen

Frankfurt, Deutschland Gibson, Dunn & Crutcher LLP Vollzeit

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 Frankfurt or Munich, the Compliance Specialist will be responsible for facilitating the onboarding of new clients and new matters primarily in our Frankfurt and Munich offices, in line with the Firm’s onboarding procedures, compliance policies, and German laws 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 either the Firm’s global Compliance Manager or a new Risk and Compliance Counsel, Germany, with indirect reporting into the Firm’s AML Officer for the Firm’s German Offices (AMLOG).

Responsibilities include:

Ensuring that the onboarding of new clients and matters comply with the Firm’s internal AML, CDD, and trade sanctions / export control policies. Reviewing 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. Ensuring CDD memos and supporting KYC documents are stored in the Firm’s central repository. Engaging with Firm partners and other colleagues regarding AML/CDD requirements, and as needed or requested, engage with external clients regarding the same. Maintaining 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. Monitoring for, and ensuring compliance with, new developments relating to the German Act against Money Laundering (GwG) and regulatory interpretations and court decisions relating thereto, as well as recommended procedures, guidance, and best practices. Assisting the Firm’s Compliance Officer, the Risk and Compliance Counsel, Germany, and the AMLOG with updating/implementing applicable policies and procedures; attending AML and trade sanctions courses and seminars as needed or directed. Performing routine monitoring of CDD documentation held for existing clients. Conducting training for new and existing attorneys and other relevant staff in Germany on the client intake processes, with particular focus on CDD and AML processes and procedures. Assisting in the submission of AML questionnaires and annual AML returns as and when requested or required by local regulators and contributing as needed or requested to the preparation of the Firm’s AML risk assessments. Assisting with the Firm’s internal compliance monitoring processes more broadly. Supporting the Risk and Compliance Counsel, Germany, and other of the Firm’s Compliance Specialists, as applicable, providing assistance or coverage, as needed, during other colleagues’ annual leave. Participating in demos and planning discussions with respect to, and assisting 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 organize and prioritize 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.

Experience

Minimum of three (3) years’ experience with compliance review and assessment of prospective client onboarding under the GwG, with a proven track record and ideally with assumption of increasing responsibility in this area of work. Experience working in an international or other large law firm or for another DNFBP strongly preferred. Strong understanding and working knowledge of AML laws and interpretative guidance in Germany, ideally from the perspective of a law firm or other regulated non-financial institution / a designated non-financial business and profession (DNFBP). 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, in particular. Understanding of company structures and organization details inside and outside Germany, including with respect to publicly traded and privately held corporations, limited liability companies, partnerships, limited partnerships, limited liability partnerships, trusts, private equity funds, etc.

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