Norton Rose Fulbright

Financial Planning and Analysis

• Advise financial institutions on a broad range of transactional and regulatory matters
• Counsel financial service providers on mergers and acquisitions, joint ventures, licensing and distribution requirements, regulatory investigations, and other corporate matters.

Associate – Financial Services and Regulation

Compliance

• Review and process requests in the client and matter intake system
• Conduct corporate research to support conflicts of interest reviews, client due diligence, and other risk-related assessments
• Analyze and synthesize research findings and potential issues into clear, actionable summaries for escalation to relevant stakeholders
• Review and approve updates to client and matter records, ensuring data accuracy and compliance with firm policies
• Prepare activity reports and documentation for audit inquiries
• Perform due diligence for securities transactions
• Provide guidance to the practice on appropriate file opening, matter management, and information-handling practices
• Assist in establishing, monitoring, and maintaining ethical walls and other information barriers to safeguard confidential information and manage access rights
• Support ongoing data governance and quality assurance activities
• Support compliance initiatives and projects with testing and by helping develop and update related resources, processes, and documentation

Associate – Financial Services and Regulation

Compliance Analyst