Compliance Officer

1 month ago

London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time
Compliance Officer Job Description

We are seeking a highly skilled and dedicated Compliance Officer to join our team at AJ FOX COMPLIANCE. As a Compliance Officer, you will play a critical role in ensuring that our organization adheres to all relevant laws, regulations, and industry standards.

Key Responsibilities:
  • Advise on best practices for client matters opening procedures.
  • Carry out ad hoc tasks and projects to implement and develop risk-led initiatives.
  • Maintain knowledge of our relevant processes, policies, and procedures, as well as industry standards.
  • Provide training on our relevant policies and procedures to new joiners.
  • Support improvements to systems and procedures.
  • Support junior members of the team.
  • Review new client and matter forms to ensure complete details are provided.
  • Conduct conflict searches and analyze 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.
  • Analyze 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.

Requirements:

  • Excellent communication skills and a team player.
  • Great attention to detail, able to spot inadequate or inaccurate information.
  • Approach internal clients confidently and diplomatically for further documentation on matters.
  • Legal education, knowledge of the SRA rules, and risk and compliance experience gained at a law firm.

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