Compliance Supervisor

6 months ago

Johannesburg, South Africa Hogan Lovells Full time

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PURPOSE

The role of a Compliance Supervisor is primarily to oversee operations and personnel of an assigned group of Compliance Assistants, Junior Compliance Analyst, Compliance Analyst, Senior Compliance Analyst and Compliance Coordinators within the overall Compliance Team.

The Compliance Supervisor is responsible for assisting the Compliance Manager (“Manager”) and providing support in the absence of the Manager in the day-to-day activities including and but not limited to providing CDD guidance to the team and any administrative issues, such as absence reporting.

The Compliance Supervisor will be working closely with and reporting regularly to the Manager and in the Manager's absence, reporting to the Head of CDD Compliance to facilitate the effective supervision of the team in Johannesburg.

The Compliance Supervisor is responsible to assess the needs of and continue to develop all reporting team members through ongoing mentoring and training.

The Compliance Supervisor is responsible to ensure reporting team members' compliance with Hogan Lovells policies and to partake in disciplinary proceedings.

The Compliance Supervisor is responsible to manage performance of reporting team members, including but not limited to timekeeping queries, overtime, monthly work product output and performance, annual reviews and general engagement and deportment in the workplace.

The Compliance Supervisor is expected to be part of the Risk Review panel and to conduct Risk Reviews on the Firm’s clients.

The Compliance Supervisor will be expected to conduct CDD on the firm’s clients during “busy periods”.

On an ad hoc basis the Compliance Supervisor may also be responsible for coordinating incoming clients, reverting to Partners and PA's on urgent queries, assigning work to team members and assisting the Compliance Manager with any other duties conferred onto them

The Compliance Supervisor will be required to advise the Compliance team on complex clients and queries and assist with reviewing junior team members work. The Compliance Supervisor should also act as a contact person to whom matters that need be resolved can be escalated, either by members of their own team and/or Partners and PAs.

KEY PERFORMANCE AREAS AND ACCOUNTABILITIES

Client Research:

- Review New Business Intake forms submitted by the International LLP.
- Conduct Risk review as part of the Mailbox Risk Scoring panel of the Compliance team.
- Ensure CDD has been gathered to the appropriate standard for all new client registrations, including those clients for whom enhanced due diligence is required.
- Conduct a degree of personal research from public sources including:

- Familiarization with a wide array of potential sources such as company registries, stock exchange websites, financial and legal regulators' websites, company search providers and external databases.
- Liaise with legal staff, support staff and research teams to obtain any outstanding CDD information.
- Liaise with Hogan Lovells support departments, notably the Finance, Research, Conflicts and also Personal Assistants.
- Where appropriate and where asked to, liaise directly with the firm's clients regarding CDD requirements.
- Document the evidence obtained during the CDD process in a clear and concise manner.
- Conduct risk rating reviews on clients taking into account the information gathered during the CDD process including research relating to ongoing investigations (adverse press) against certain clients and determining whether a risk level of a client may be lowered or should be raised.
- Utilize external subscription databases to screen clients, their directors and shareholders in order to identify PEPs, influential persons, presence on Sanctions lists, criminal activity and adverse press. Escalate these issues where appropriate.
- Investigate co-client related party checks to ensure that new matters for existing clients are registered correctly and gather CDD for those related parties when necessary.
- Obtain verify and record clients EC VAT numbers when necessary.
- Review adverse press generated on the firm’s existing clients. Discount false positive hits or escalate serious hits to the firm’s General Counsel’s Office and the relevant fee earner.

Reports and Database Administration:

- Ensure that CDD is updated to the appropriate standard, including an enhanced level of due diligence where required.
- Conduct Risk Reviews
- Update and maintain 3E, including client names and addresses.
- Assist in maintaining the firm's PEP databases.
- Assist with disciplinary proceedings on reporting team members.
- Conduct probation/performance reviews on reporting team members

Advisory and Projects:

- Must have leadership skills and be an exemplary team member.
- Provide advice and guidance to team members other stakeholders.
- Own and lead administrative proje

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