Compliance Analyst

Job Description

Harbor is seeking a Compliance Analyst to join our growing team.  By providing strategic, technology and operational services to clients in the legal, professional and financial services industries, Harbor’s highly talented group of professionals offer a unique blend of Legal experience across several industries and disciplines. Our employees are our greatest competitive advantage. The Vendor Governance Solutions (VGS) team assists clients in reducing costs and legal risk across a variety of areas, optimizing business processes, procuring goods and services and improving stakeholder value. 

As a part of Harbor's VGS team, we will rely on you to work closely with internal project team members and client personnel, facilitating the completion of client surveys and vendor questionnaires received by your law firm client. These surveys and questionnaires serve as a medium for business partners and customers of the law firm to measure the current state of said law firm’s compliance climate and ensure the required level of professional best practices are being met. You will start inputting responses from a template library of previously acceptable survey response language. Then, using your compliance knowledge and information about the law firm, you will craft a first pass response survey questions and escalate as appropriate to client personnel for agreement. We look to you both to mitigate risk and create value by crafting survey responses that meet or exceed the needs of our clients.  

This is a fully remote role that can sit anywhere across the US with little to no travel involved. 

Responsibilities:

• Manage and coordinate the collection and analysis of client surveys and vendor questionnaires, acting as key point of contact for any questions or needs. 
• Ensure timely completion and submission of surveys and questionnaires. 
• Effectively manage pipeline of work including tracking status of reviews, providing proactive updates to stakeholders, timely follow up internal and external. 
• Collaborate with internal teams to gather necessary information and insights for accurate responses. 
• Liaise with client’s legal counsel in the review and final approval of client surveys and vendor questionnaires.  
• Maintain a database of approved responses for future reference. 
• Provide detailed and comprehensive answers to client inquiries and vendor requests. 
• Identify opportunities for improvement in survey processes and questionnaire responses. 
• Stay updated on industry trends and best practices related to client surveys and vendor questionnaires. 
• Gathers information and provides responses to documentation requests from clients, local HR, internal/external auditors, and regulatory agencies surrounding audits and other inquiries. 
• As time permits, provide lessons learned and opportunities to improve internal Harbor survey and questionnaire process and potentially assist establishing a future Harbor service offering. 

Education + Experience Requirements:

• Bachelors degree is required.   
• 3+ years of work experience in compliance or questionnaire facilitation. Law firm or professional services industry preferable but not required. 
• Strong familiarity with compliance requirements and applicability to professional services organizations, including but not limited to ISO 27001 and SOC 2. 
• Strong familiarity with typical language contained in a vendor code of conduct, Corporate Social Responsibility (CSR) policy, carbon emission tracking and reduction management, DEI policy, Tier 1 and Tier 2 diversity reporting.  
• Familiarity with IT Security requirements and terminology, including but not limited to typical language contained in SIG or SIG Lite, Penetration test scoring and remediation, and audits.  
• Familiarity with data privacy and data security laws (such as GDPR) and insurance requirements.  
• Familiarity with due diligence processes including but not limited to financial checks, Sanctions and Watchlists, negative news, conflicts checks, pending litigation, and Anti-Money Laundering (AML). 

Additional Qualifications:

• Proven ability to interpret complex policies and compliance requirements to answer surveys and questionnaires accurately, effectively and efficiently with excellent attention to detail.  
• Ability to build collaborative relationships and effectively communicate (orally and written) across a diverse group of external client stakeholders and internal colleagues 
• Demonstrates proactivity and takes ownership of daily responsibilities and projects 
• Effective time management, prioritization and organizational skills in a multitasked environment 
• Extremely responsive and customer-focused; appropriate follow-up and follow-through 
• ability to manage confidential information with discretion. 
• Commitment to superior quality and accuracy 
• Willingness to learn and adapt to change 
• Demonstrated proficiency in Microsoft Excel, Outlook, and PowerPoint. 
• Showing pride in and taking responsibility for work performed.  
• Willing and enthusiastic attitude with the ability to take the initiative. 
• A self-starter: ability to work independently, take initiative and carry out assignments to completion with minimal supervision whilst also collaborating effectively with cross-function teams. 
• Able to work well under pressure and maintain a professional and calm demeanor. 
• Enthusiastic, “can-do” attitude. 
• Demonstrates initiative and resourcefulness. 
• Familiarity with survey tools and software is highly desired.