Compliance Officer

1 week ago


Guildford, United Kingdom Career Legal Full time

Job Details

This role as a Compliance Officer - Analyst sits within the firm’s Risk & Compliance Team and will involve being part of a team of new business intake analysts: carrying out conflict searches using conflict database software and conducting in depth analysis of the results of the searches; performing client identification checks and preparing client and matter risk assessments; and helping to develop the firm’s new business intake policies and processes.

Key responsibilities
- Risk assessing new and existing clients and matters, conducting AML due diligence checks and research, and producing reports.
- Carrying out conflicts of interest checks for the firm within the conflict database software, analysing conflict search results, identifying the existence of potential conflicts and liaising with partners and fee earners to address or clear potential conflicts and open files.
- Liaising with lawyers to obtain further information to assist with conflicts and AML analysis and to escalate any issues to the Head of Risk & Compliance or senior colleagues.
- Answering conflict/AML queries from the firm or escalating them to the Head of Risk & Compliance or senior colleagues.
- Assisting stakeholders across the firm with client acceptance processes.
- Contributing to updates to new business intake software.
- Helping to develop best practice standards, policies and procedures in relation to client acceptance, risk and compliance.
- Keeping up to date with relevant regulatory and compliance developments and assisting with monitoring compliance risks.


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