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2 months ago
BAU New Client/AML Team Leader
The following information aims to provide potential candidates with a better understanding of the requirements for this role.
PURPOSE OF THE ROLE
• Due to the growth of the firm and an everchanging regulatory environment, we are looking for a pro-active, commercial individual, with a keen eye for detail, to join our New Clients/AML Team.
• As a BAU New Client/AML Team Leader, you will manage several direct reports, acting as a point of escalation, undertaking technical judgment and decision-based AML work in relation to client and matter instructions.
• Acting as subject matter expert, you will advise both Partners and fee earning stakeholders across the business in relation to the Firm's procedures, regulatory AML and compliance obligations. The Team Leader is a self-starter, responsible for keeping up to date with changes in regulations, policies and procedures, whilst working with the Team Manager and wider Office of the General Counsel (OGC).
THE TEAM
• The Business Acceptance Unit (BAU) forms part of the OGC Directorate and is based across the Firm's Leeds, Manchester, Edinburgh, Glasgow, and Dubai offices.
• The New Client/AML Team delivers high quality advice/guidance to the firm on all aspects of client file opening, anti-money laundering Client Due Diligence (CDD) checks, risk assessments and associated risk relevant work, providing support to the Firm's Money Laundering Reporting Officers (MLROs), Deputies and OGC team with high risk / reputational issues and the submission of Suspicious Activity Reports (SARs).
• With a track record of success for providing internal progression, this role offers the opportunity to continuously learn, adapt, and explore various areas of Risk and Compliance, in a stimulating environment fostering individual growth and development.
WHAT TO EXPECT IN THIS ROLE
• Conducting AML/CDD of varying levels of complexity across a range of sectors, practice areas and jurisdictions on all new and appropriate existing client instructions.
• Actively managing a team of Assistants and Advisors, you will be responsible for overseeing and prioritisation of workflow in adherence with service levels and key performance indicators.
• Overseeing AML/CDD processes and conducting investigative analysis to cover a broad range of high risk factors including; PEP involvement, state ownership, complex structures, high risk jurisdictions (including EU high-risk third countries), sanctions, intelligence and other reporting systems. Advising on enhanced due diligence and ongoing monitoring and escalating potential legal and reputational issues as necessary.
• Managing performance reviews, setting objectives, and conducting quality assurance audits to ensure team development and maximise potential.
• Responsible for new starter training and ongoing development, you will maintain a robust training regime, ensuring materials are kept up to date, in addition to providing coaching and mentoring.
• Acting as an escalation point for AML queries, advising on CDD requirements, client of record, best practice and other ad hoc requests. You will be comfortable delivering difficult messages, where appropriate and supporting team members on high risk/reputational referrals.
• Overseeing the delivery of Management Information (MI) statistics, ensuring insightful analysis and added value in the form of continued service improvements.
• Co-ordinating the submission of Suspicious Activity Reports (SARs) to the National Crime Agency (NCA), assisting with drafting, submission, and internal record updates, under the supervision of the Team Manager and the MLRO/Deputy MLRO.
• Leading on strategic projects, tasks and other compliance related work as required.
• Rotational Weekend management cover required, in addition to occasional ad-hoc evening work.
YOUR AREAS OF KNOWLEDGE AND EXPERTISE
• Experience working in a comparable role within a legal or professional services environment is essential.
• Strong regulatory/legal analytical skills, with the ability to interpret and apply international AML regulations such as The Money Laundering and Terrorist Financing (Amendment) Regulations 2019 or equivalent, POCA, UN, EU, UK and US sanctions regimes and the SRA Code of Conduct 2019.
• Strong leadership skills and the ability to motivate, influence and encourage a high-performance team; Previous line management experience is highly desirable.
• Confidence working proactively and autonomously, seeking ways to add value and drive quality.
• Strong decision-making skills and the ability to adopt a risk-based approach, under the guidance of the Team Manager, ensuring the firm remains compliant with applicable regulations.
• A passion for delivering exceptional client service and communicating effectively with stakeholders of all levels within the business.
