Compliance Analyst

23 hours ago

Toronto, Canada Fasken Full time

**COMPLIANCE ANALYST**

Reporting to the Manager, Compliance, the Compliance Analyst will coordinate and support the daily functions and operations of the Compliance Department. This includes assisting firm members to resolve compliance issues and advising on regulatory requirements and acting as a key contact between the Compliance team and Lawyers/Legal Assistants in relation to New Business Intake practices.

Hours of work are from 9:30 am to 5:30 pm. Occasional pre-authorized overtime may be required to meet client needs. We are currently working remotely and we will continue to offer hybrid work arrangements post pandemic.

**At Fasken, success means**:

- Having a strong client service approach - you’re ready, willing, and able to put our clients first and exceed their expectations
- Caring about one another - you possess strong interpersonal skills and the ability to build harmonious working relationships within your immediate team, across other departments in the firm, and the community
- Working collaboratively - you’re a self starter who values working in a collaborative team based environment
- Possessing exceptional communication skills (both verbal and written) when dealing with lawyers, clients, staff and third parties
- Approaching your work with agility and the willingness to learn and utilise new technology
- Being adaptable to changing priorities in a fast-paced environment while being organized and maintaining accuracy with a high attention to detail
- Demonstrating strong research, investigative and problem-solving skills with the ability to exercise judgement to resolve issues
- Treating sensitive and confidential matters with discretion and diplomacy at all times

**Primary Responsibilities**:

- Completing conflict searches within multiple databases to ensure all potential conflicts are identified, documented, and communicated to partners
- Working with the Compliance Team to open files and respond to complex inquiries as required
- Reviewing New Business Intake forms for completeness and accuracy and modify the data as required
- Ensuring Know Your Client (KYC) rules are followed and train staff in KYC procedures
- Escalating complex compliance issues to local compliance partner or general counsel for assistance/support
- Following procedures and policies governing the Firm’s compliance activities and responsibilities
- Delivering training seminars on all facets of compliance for the Legal Assistant group and, as required, conduct departmental orientations for new Legal Professionals
- Coordinating with the firm’s IT department, to maintain and make recommendations for improvements to the compliance systems and technologies
- Conducting annual review of compliance programs to ensure firm standards and guidelines are adhered to
- Documenting procedures and providing administrative support by updating departmental forms, and templates
- Assisting with special projects by researching new resources and testing new products and software

**Required Knowledge and Experience**
- University degree and/or graduate diploma in Business, Information Management, Library Science or Research
- Minimum of 3 years’ experience working in a law or professional services firm
- Good working knowledge of Law Society Know Your Client (KYC) Rules
- Research analytics experience

**Diversity and Inclusion**

At Fasken we are committed to creating a diverse, equitable and inclusive Firm. Our commitment includes ensuring equitable access to employment and equitable opportunities to advance and succeed at the Firm.

**Accessibility and Accommodation**

**Background and Reference Checks**

Any offer of employment may be conditional upon references and full background checks including a criminal record check, a credit check, employment and educational verifications.

**Your Application**

**NO AGENCIES, PLEASE.

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