Compliance Assistant

6 months ago


Guernsey, United Kingdom Harper James Full time

**Compliance Assistant**

To support our growing Compliance function within the business, we are looking for a Compliance Assistant to join our team at Harper James.

Working closely with our Compliance Officer, the role will play a pivotal part in supporting the compliance function.

**About Harper James**

Harper James is a national commercial law firm designed to support entrepreneurial businesses from start-up to exit. We aspire to disrupt the model for which legal services are provided to businesses. The firm’s innovative approach to delivering highly tailored and accessible legal advice is considered genuinely different to the establishment.

Harper James was founded in 2014 and continues to grow at c40%+ year on year. This financial year, more than 130 people will support more than 2,500 businesses and our turnover will exceed £13m. We expect to double in size over the next 3 years.

**Desired Skills and Experience**
- We are looking for a compliance professional with prior law firm experience, ideally 12 months minimum of working within a similar role and familiar with SRA requirements.
- This is a critical function and requires someone who is confident working on their own initiative and is comfortable communicating effectively with people at all levels of the business.
- You will be a self-starter with excellent organisational skills and experience of working within a fast-paced environment.

**Key Responsibilities**
- To play a key role in the compliance of the firm.
- To support/assist the COLP with all aspects of Risk and Compliance.
- To support/assist the Money Laundering Reporting Officer (MLRO).
- Carry out CDD/AML/KYC checks for the onboarding of new clients and for new matter opening (checking ID is in date and that no changes in ownership structure of companies)
- Identifying UBOs, parent companies, FCA regulated firms, overseas territories and potential PEPs/sanctions.
- Contacting clients to request updated ID when ID has expired.
- Carry out audits of new client onboarding process and ensuring correct ID has been requested and received.
- Assist with sending out terms and conditions for new clients.
- Assist with opening new matters and ensuring AML checks are in place.
- Responsibility for the upkeep and filing of AML records.
- Carry out regular file audits and report any issues or discrepancies for further investigation
- Assist with work required to bring the Practice Manual and associated processes/ policies up to date (with assistance from Risk and Compliance Manager, Operations Manager, COLP and COFA as required.)
- Provide administrative assistance to the Risk and Compliance Officer to undertake audit/assessment of following areas: AML, data processing, file management, HJ practice manual and internal training records.

**What we can offer you**
- The opportunity for you to be part of a fast-growing business that is leading innovation in the legal service sector with accelerated professional development and growth opportunities.
- Competitive salary and benefits.
- The role is fully remote with travel to the Birmingham office for regular meetings.
- Full time.

NO AGENCIES PLEASE.



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