Risk and Compliance Analyst

1 month ago

London Area, United Kingdom LR Legal Recruitment Full time

Role - Risk and Compliance Analyst

Location - London (Hybrid)

Salary - Up to $43k


Role


This is a position for a Risk and Compliance Analyst to join the Risk and Compliance team.The successful candidate will work closely with the Risk and Compliance Manager and other team members to help ensure that the firm complies with relevant regulations, particularly in relation to new client and matter take-on procedures.


This is a varied role, and the incumbent will gain generalist risk and compliance experience, providing a solid foundation at this early stage of their career.


Responsibilities


The successful candidate will report directly to the Risk and Compliance Manager and will share responsibility with the other team members for the following:


Anti-money laundering (AML) checks

  • Review AML documentation in line with the firm's policies and complete risk assessments on new and re-opened clients and matters
  • Advise fee earners on the firm's AML requirements
  • Conduct research in relation to AML checks and use online systems to verify clients' identities and run background checks
  • Conduct ongoing monitoring of clients and enhanced client due diligence checks for higher-risk clients


Client and matter management

  • Run and review conflict checks
  • Monitor the Compliance team inbox and respond to queries
  • Run sanctions checks and respond to sanction list alerts
  • Monitor engagement letter compliance and respond to daily reports
  • Complete client and matter records maintenance e.g. updating outdated records and advising on firm policy in relation to this


Risk and compliance

  • Advise staff on the firm's compliance policies and best practice
  • Conduct new joiner and other ad hoc training for staff on the firm's compliance policies and procedures
  • Maintain compliance registers (e.g. undertakings)
  • Assist the Risk and Compliance Director and the Risk and Compliance Manager with ad hoc projects and provide cover where necessary
  • Assist with any other duties that might be reasonably assigned to the role


Experience

  • Minimum or 1 year working in a professional services environment, including at least 6 months experience working in a role that has had exposure to risk and compliance (not necessarily in a risk and compliance team)


Skills and attributes

  • An interest in progressing with their career in Risk and Compliance
  • Minimum of foundation level understanding of compliance rules in a law firm, including SRA requirements
  • A proven ability to work well in a team, with a willingness to cover for other team members where appropriate
  • Adopts a methodical and structured approach to work
  • The ability to balance responsibility for routine day-to-day tasks with ongoing project work
  • A quick learner, able to use initiative and make sensible judgments when deciding whether or not to escalate issues
  • Excellent attention to detail
  • Professional, diligent and responsible attitude
  • Ability and desire to work to high standards
  • Strong communication and interpersonal skills with a customer service focussed approach
  • Proficient in the use of MS Office
  • Previous experience with office databases and systems preferable

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