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Bau New Client and Anti Money Laundering Advisor
4 months ago
**THE GENERAL COUNSEL AND RISK DIVISION**:
The GC & Risk team focuses on strategic risk management advice and projects across the firm's UK and international offices. This includes advising the firm on regulatory and professional practice issues, drafting and agreeing firm-wide policies and procedures, and assisting the General Counsel, Conflicts Partner, Money Laundering Reporting Officer and Anti-Bribery & Corruption Officer. The team is also responsible for implementing, embedding and monitoring compliance and risk practices across the firm, globally.
**THE TEAM**:
The Business Acceptance Unit (BAU) forms part of the Firm's General Counsel & Risk (GC&R) Directorate. The role reports to the BAU Manager - AML / Client team and involves the creation and ongoing maintenance of all client / AML records across the Firm's centralised processing systems, primarily in relation to anti-money laundering client due diligence (CDD) checks and compliance with the relevant laws and regulations across the Firm's global operation.
The team comprises of Assistants and Advisors undertaking all aspects of client file opening, anti-money laundering CDD checks, risk assessments and associated risk relevant work. The team also manages the administration of the Sanctions process and supports the Firm's Money Laundering Reporting Officers (MLROs) and Deputies with the submission of Suspicious Activity Reports (SARs) and high risk / reputational issues.
The BAU AML Advisor undertakes technical judgment and decision based Anti-Money Laundering ('AML') work in relation to client and matter instructions. Advice is given to partners and fee earners in relation to the firm's procedures, regulatory AML and compliance obligations. The role is based in Leeds with occasional travel to other offices as required.
Working in this team you can expect:
- An attractive, competitive salary and benefits package.
- A flexible and friendly working environment (hybrid working is encouraged to get a balance between working from home and being in the office) and a supportive team culture where we all look out for each other at all levels.
- Award winning state of the art technology and innovation (ranked top 4 in the latest Financial Times Innovative Lawyer report - making us one of the most innovated law firms in Europe) including document automation and AI document review systems.
- Extensive business development, support, and training.
**WHAT DOES THE ROLE INVOLVE?**:
- Process new client file opening requests and re-verification of existing clients.
- Undertake Anti-Money Laundering (AML)/Client Due Diligence (CDD) checks on all new and appropriate existing client instructions. Investigative analysis to cover a broad range of high risk factors including PEP involvement, high risk jurisdictions, complex structures, sanctions information, intelligence and other reporting systems. Advise on enhanced due diligence and ongoing monitoring.
- Employ a working understanding of the AML regulations in relation to the Firm's operational jurisdictions under the supervision of the relevant Risk & Compliance Lawyer, Senior Lawyer or Manager.
- Advise partners and associates on specific CDD requirements and related AML queries.
- Compile referrals for the MLRO's to allow the review of PEPs and other associated clients and matters.
- Conduct analysis on relevant sanctions notifications including from the UN, EU, UK and US. Investigate and escalate potential legal and reputational issues to the Head of BAU and Risk & Compliance Lawyer/Manager and assist with any referral to the MLRO's, AML Committee or Professional Practice & Risk Committee ('PPRC'). Administer the internal sanctions databases.
- Submit Suspicious Activity Reports ('SARs') to National Crime Agency ('NCA') under the supervision of the MLRO/Deputy MLRO.
- Conduct weekly audits of workflow and CDD forms, recording findings and feedback. Administer workflows to ensure internal SLA's are maintained.
- Compile Management Information ('MI') Statistics for stakeholders.
- Work with the Team Leaders and Manager to upskil new and existing team members, by coaching, mentoring and providing training.
- Assist the Team Leader and Manager with the management of the teams workflow, ensuring individuals and the team remain within service level agreements.
- Draft and update BAU's procedures in accordance with regulatory changes and Firm policy under the supervision of the relevant Risk & Compliance Lawyer, Senior Lawyer, or Manager.
- Support the BAU Manager with tasks, projects and other compliance related work as required.
- Arrange and oversee bi-weekly BAU AML team meetings.
**WHAT KNOWLEDGE, SKILLS AND EXPERIENCE SHOULD YOU HAVE?**:
**ANY SUCCESSFUL APPLICANT WILL NEED THE FOLLOWING SKILLS AND COMPETENCIES**:
- Experience of working in a comparable role within a legal environment.
- Knowledge of the relevant areas of law and regulations such as the Money Laundering Regulations 2007, POCA, UN, EU, UK
