BAU New Client/AML Assistant

3 weeks ago

Manchester, United Kingdom DiverseJobsMatter Full time

BAU New Client/AML Assistant

PURPOSE OF THE ROLE

• Due to the growth of the firm and an everchanging regulatory environment, we are looking for a pro-active, customer service focussed individual, with a keen eye for detail, to join our New Clients/AML Team.

• As an Assistant in the New Client/AML team, you will ensure that the Firm complies with its regulatory obligations by managing and mitigating risk. You will play an important role in implementing, embedding and monitoring compliance, including but not limited to, creating and maintaining all client due diligence (CDD)/anti-money laundering (AML) records, in accordance with relevant global laws and regulations.

THE TEAM

• The Business Acceptance Unit (BAU) forms part of the Office of the General Counsel (OGC) Directorate and is based across the Firm's Leeds, Manchester, Edinburgh, Glasgow and Dubai offices.

• The team delivers high quality advice/guidance to the Firm across all aspects of client file opening, anti-money laundering 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

Responsibilities include:

• Conducting AML/CDD of varying levels of complexity across a range of sectors, practices and jurisdictions on all new and appropriate existing client instructions in a timely and efficient manner.

• Investigative research using internal databases, third party information providers and publicly available information to gather AML/CDD information and documentation.

• Identifying and analysing a broad range of high-risk factors including Politically Exposed Persons (PEP) involvement, state ownership, complex structures, high risk jurisdictions (including EU high-risk third countries), sanctions information, intelligence and other reporting systems.

• Escalating high-risk factors, drafting referrals and obtaining senior management approval in line with the firm's escalation process.

• Undertaking Matter risk assessments, evaluating all mitigating and high-risk factors.

• Maintenance of internal databases including client due diligence and sanctions.

• Supporting task/project-based work in relation to risk monitoring systems and controls, as directed by management.

• Advising on day-to-day queries regarding the firms AML policies and their implementation.

YOUR AREAS OF KNOWLEDGE AND EXPERTISE

• Experience of working in risk and compliance within a law firm, accountancy or financial services environment, is preferred but not essential.

• The ability to conduct extensive research, diligently reviewing AML/supporting documentation and critically analyse complex information, identifying key issues, and making informed decisions based on sound judgment.

• The ability to work at pace, managing and prioritising conflicting deadlines. Promptly responding to queries, addressing concerns, and taking the initiative to anticipate additional needs.

• Experience building rapport and trust with stakeholders of all levels to enhance communication with the wider firm and create a supportive and productive work environment.

• A basic Knowledge of the relevant areas of Law and Regulations such as The Money Laundering and Terrorist financing regulations 2019 or Equivalent, POCA, UN, UK and US Sanction regimes, as well as the SRA code of conduct 2019.

• Proficient use of Microsoft Office software, i.e. Outlook, Word, Excel and Intapp (desirable)

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