Compliance Officer
1 month ago
We are seeking a highly skilled Compliance Officer to join our team at AJ FOX COMPLIANCE. As a Compliance Officer, you will play a critical role in ensuring the firm's compliance with Anti-Money Laundering (AML) regulations and sanctions.
Key Responsibilities:- Advisory Role: Provide guidance to secretaries, fee earners, and partners on best practices for client matter opening procedures.
- Project Management: Carry out ad hoc tasks and projects to implement and develop risk-led initiatives within the team.
- Knowledge Management: Maintain up-to-date knowledge of the firm's relevant processes, policies, and procedures, as well as industry standards.
- Training and Development: Provide training on the firm's relevant policies and procedures to new joiners.
- Process Improvement: Support improvements to systems and procedures, including conflicts procedures and supporting software.
- Junior Support: Support junior members of the team in their roles.
- Client Review: Review new client and matter forms to ensure complete details are provided.
- Conflict Analysis: Conduct conflict searches and analyze search results.
- Liaison: Liaise directly with Partners and Fee Earners on identified potential legal or commercial conflicts.
- Process Enhancement: Suggest process improvements to conflicts procedures and supporting software.
- Information Barriers: Implement information barriers as required.
- Issue Escalation: Escalate high-risk issues to the Money Laundering Reporting Officer.
- Client Analysis: Analyze and establish the corporate structure of the client where relevant and identify the beneficial ownership.
- AML Monitoring: Undertake ongoing AML/Sanctions monitoring of high-risk clients.
- Client Monitoring: Perform ongoing monitoring of existing clients.
Requirements: To be successful in this role, you will need excellent communication skills, a team player attitude, and great attention to detail. You will also need a legal education, knowledge of the SRA rules, and risk and compliance experience gained at a law firm.
How to Apply: If you are interested in this Compliance Officer role, please submit your CV for consideration.
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