Compliance Officer
4 weeks ago
In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from officers.
Responsibilities will include:
* Advise secretaries, fee earners and partners on best practise in relation to client matters opening procedures.
* Carry out ad hoc tasks and projects which may arise within the team to implement and develop risk-led initiatives.
* Maintain knowledge of the firm’s relevant processes, policies and procedures and industry standards.
* Provide training on the firm’s relevant policies and procedures to new joiners.
* Supporting improvements to systems and procedures.
* Supporting junior members of the team.
* Review new client and matter forms to ensure complete details are provided.
* Conduct conflict searches and analyse search results.
* Liaise directly with Partners and Fee Earners on identified potential legal or commercial conflicts.
* Suggest process improvements to conflicts procedures and supporting software.
* Implementation of information barriers.
* Escalate high-risk issues to the Money Laundering Reporting Officer.
* Analyse and establish the corporate structure of the client where relevant and identify the beneficial ownership.
* Undertake ongoing AML/Sanctions monitoring of high-risk clients.
* Perform ongoing monitoring of existing clients.
For this role, you will have excellent communication skills and be a team player. You will have great attention to detail, someone who can spot inadequate or inaccurate information and approach internal clients confidently and diplomatically for further documentation on matters. You will need to have a legal education, knowledge of the SRA rules and risk and compliance experience gained at a law firm.
Please apply with a copy of your CV if you would like to be considered for this position. Many thanks
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