Compliance Officer

2 weeks ago

Old Street Greater London, United Kingdom AJ Fox Compliance Full time

Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a Risk and Compliance Officer within an International law firm. 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

  • Compliance Officer

    Found in: Whatjobs ES C2 - 1 week ago

    Old Street, United Kingdom AJ Fox Compliance Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a Risk and Compliance Officer within an International law firm.In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from...

  • Junior Compliance Officer

    Found in: Whatjobs ES C2 - 1 week ago

    Old Street, United Kingdom AJ Fox Compliance Full time

    A leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team.This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization.Key responsibilities will include:...

  • Junior Compliance Officer

    2 weeks ago

    Old Street, Greater London, United Kingdom AJ Fox Compliance Full time

    A leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team. This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization. Key responsibilities will...

  • Assistant Compliance Officer

    22 hours ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global investment management business based in London (currently working on a hybrid basis of 3 days in the office per week). They are looking for an Assistant Compliance Officer to join the thriving team. **THE RESPONSIBILITIES**: - Provide general regulatory guidance and advisory services to certain internal business...

  • Head of AML

    2 weeks ago

    Old Street, United Kingdom AJ Fox Compliance Full time

    Our client - an international law firm - is seeking a Head of AML to join their team in Leeds. This is an exciting opportunity to work closely with the firm’s senior management - and the wider business - acting as the Deputy Money Laundering Reporting Officer, designing new policies and procedures, implementing them across the business, and all in all,...

  • Head of AML

    2 weeks ago

    Old Street, United Kingdom AJ Fox Compliance Full time

    Our client - an international law firm - is seeking a Head of AML to join their team in Nottingham. This is an exciting opportunity to work closely with the firm’s senior management - and the wider business - acting as the Deputy Money Laundering Reporting Officer, designing new policies and procedures, implementing them across the business, and all in...

  • Head of AML

    2 weeks ago

    Old Street, United Kingdom AJ Fox Compliance Full time

    Our client - an international law firm - is seeking a Head of AML to join their team in Manchester. This is an exciting opportunity to work closely with the firm’s senior management - and the wider business - acting as the Deputy Money Laundering Reporting Officer, designing new policies and procedures, implementing them across the business, and all in...

  • Head of AML

    2 weeks ago

    Old Street, United Kingdom AJ Fox Compliance Full time

    Our client - an international law firm - is seeking a Head of AML to join their team in London. This is an exciting opportunity to work closely with the firm’s senior management - and the wider business - acting as the Deputy Money Laundering Reporting Officer, designing new policies and procedures, implementing them across the business, and all in all,...

  • Head of AML

    Found in: Whatjobs ES C2 - 1 week ago

    Old Street, United Kingdom AJ Fox Compliance Full time

    Our client - an international law firm - is seeking a Head of AML to join their team in London. This is an exciting opportunity to work closely with the firm’s senior management - and the wider business - acting as the Deputy Money Laundering Reporting Officer, designing new policies and procedures, implementing them across the business, and all in all,...

  • Head of AML

    Found in: Whatjobs ES C2 - 1 week ago

    Old Street, United Kingdom AJ Fox Compliance Full time

    Our client - an international law firm - is seeking a Head of AML to join their team in Leeds. This is an exciting opportunity to work closely with the firm’s senior management - and the wider business - acting as the Deputy Money Laundering Reporting Officer, designing new policies and procedures, implementing them across the business, and all in all,...

  • Head of AML

    Found in: Whatjobs ES C2 - 1 week ago

    Old Street, United Kingdom AJ Fox Compliance Full time

    Our client - an international law firm - is seeking a Head of AML to join their team in Nottingham. This is an exciting opportunity to work closely with the firm’s senior management - and the wider business - acting as the Deputy Money Laundering Reporting Officer, designing new policies and procedures, implementing them across the business, and all in...

  • Head of AML

    Found in: Whatjobs ES C2 - 1 week ago

    Old Street, United Kingdom AJ Fox Compliance Full time

    Our client - an international law firm - is seeking a Head of AML to join their team in Manchester. This is an exciting opportunity to work closely with the firm’s senior management - and the wider business - acting as the Deputy Money Laundering Reporting Officer, designing new policies and procedures, implementing them across the business, and all in...

  • Senior Conflicts Lawyer

    2 weeks ago

    Old Street, United Kingdom AJ Fox Compliance Full time

    Our client - an international law firm - is seeking a Senior Conflicts Lawyer to join their growing team in London. This is an exciting opportunity to work closely with the firm’s senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure global compliance with...

  • Compliance Officer

    Found in: Talent UK 2A C2 - 3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...

  • Chief Compliance Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES: Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance Undertaking a rolling compliance monitoring...

  • Compliance Officer

    Found in: Appcast UK C C2 - 2 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...

  • Compliance Officer

    Found in: Appcast UK C2 - 2 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...

  • Compliance Officer

    Found in: Appcast Linkedin GBL C2 - 3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...

  • Compliance Officer

    Found in: Whatjobs ES C2 - 1 week ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata...

  • Compliance Officer

    2 days ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global banking group offering commercial and retail banking, investment banking, and wealth management **THE RESPONSIBILITIES**: - Producing draft of policy documentation. - CMP tracking, testing, monitoring and deep dives. - Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. - Managing and...