Client Onboarding Quality Assurance Specialist

About Us

We are a national legal practice with a commitment to local service. Our guiding principle is that we are legal and financial specialists who genuinely care. This ethos is reflected in our interactions with clients and our support for our colleagues. We pride ourselves on being more than just a law firm; we are a collaborative team dedicated to assisting individuals and businesses through various challenges. Here, you will find a welcoming and inclusive workplace.

We appreciate the unique contributions of each team member and foster an environment where everyone can thrive. Our culture encourages collaboration and innovation, enabling us to achieve remarkable outcomes that positively impact our clients and communities.

We are committed to supporting our colleagues in finding the best work-life balance, which benefits not only them but also our clients, the organization, and regulatory bodies. For more information, please connect with our Talent Acquisition team.

Your Role and Responsibilities

As a Client Onboarding Quality Assurance Analyst, you will be instrumental in upholding the high standards of service that our clients expect. The Client Onboarding Teams deliver a centralized service for client and matter onboarding, assisting fee earners in their engagement with clients.

In this role, you will ensure that team members complete client due diligence and conflict checks in accordance with all legal, regulatory, and internal policies and procedures.

Reporting to the CDD/Conflicts Team Leader, your responsibilities will include conducting quality assurance checks and providing constructive feedback to the Client Onboarding teams. Your work will encompass activities related to client due diligence and conflict management.

Key Responsibilities:

Accreditation and Quality Framework

• Oversee a client due diligence and conflicts Competency Accreditation Scheme, ensuring that members of the Client Onboarding Department are recognized as competent and skilled in meeting legal, regulatory, and internal policy requirements.

Quality Assurance

• Perform quality assurance evaluations of client due diligence and conflict checks, adhering to the established quality assurance framework and internal policies. Provide timely feedback to Analysts, Officers, and Senior Officers, collaborating with team leaders to agree on documented corrective actions and monitor their completion.
• Prepare for and lead quality assurance meetings with Team Leaders and the Head of Client Onboarding, generating comprehensive reports that summarize outcomes, findings, and recommendations.
• Identify and review corrective actions related to process and regulatory failures, liaising with case handlers and supervisors to resolve issues and escalate when necessary.

Continuous Improvement

• Propose enhancements to internal operational processes and control structures, supporting the Client Onboarding Department in implementing necessary improvements.
• Provide feedback to stakeholders on areas for technical knowledge and process enhancements, educating colleagues as needed.

Technical Training and Coaching

• Conduct regular coaching sessions with Client Onboarding team members to enhance their technical and functional skill sets as identified in the Competency Accreditation Scheme and through Quality Assurance recommendations.
• Collaborate with Team Leaders and other QA Analysts to assess the technical skills of client due diligence and conflict management within the teams, performing regular training needs assessments and gap analyses.
• Assist in developing training materials and case studies for ongoing training related to client due diligence and conflict checking.
• Support the onboarding of new Client Onboarding team members by designing and implementing tailored training plans for their technical needs.
• Foster effective collaborative relationships with leaders in the Client Onboarding Department and the General Counsel Team to achieve agreed technical training objectives.
• Drive significant improvements in the technical skills and knowledge of client due diligence and conflict management within the teams.
• Stay informed about relevant regulatory, legislative, and technical changes affecting client due diligence and conflicts.
• Maintain a thorough understanding of Irwin Mitchell's Client Due Diligence and Conflict policies, ensuring consistent application through technical training across teams.
• Proactively build relationships with other functions, particularly the General Counsel Team, to facilitate knowledge sharing and promote collaboration.
• Disseminate technical knowledge and feedback, contributing to bulletins and lessons learned to support continuous improvement and best practices.
• Provide ad-hoc guidance and support to Senior Officers, Officers, and Analysts on technical aspects of client due diligence and conflicts.

About You

Essential Qualifications:

• Extensive technical knowledge and experience in applying legal and regulatory requirements related to client due diligence and conflicts within a law firm, covering both domestic and international clients.
• Experience at a minimum level of Senior Officer with additional Quality Control (QC) or Quality Assurance (QA) responsibilities.
• Strong written and verbal communication skills across all levels of the organization.
• Demonstrated ability to work independently and make informed decisions within your area of responsibility.
• Experience in coaching and mentoring team members.
• Familiarity with 3e and knowledge of regulatory requirements in other professional sectors, such as FCA or international law firm regulations.
• Experience in preparing and delivering training for both individuals and larger groups.
• In-depth knowledge of SRA Standards and Rules related to Conflicts and Financial Crime prevention regulations.
• A passion for quality and regulatory compliance.
• Professional demeanor with the ability to influence and provide clear technical advice.
• Approachable and capable of building strong working relationships.
• Collaborative mindset, working effectively within teams and with colleagues.
• Ability to manage pressure and adapt to changing priorities.
• Strong sense of responsibility and ownership.
• Excellent organizational and time management skills.
• Resilient and energetic personality with a desire for continuous improvement.
• Coaching skills.

Desirable Qualifications:

• Training qualifications or experience in various learning methodologies; 'Train the Trainer' training will be provided as needed.
• Familiarity with client due diligence software such as Smart Search, World Check, or other providers.
• Training and/or qualifications in coaching.

Our Benefits

• 25 days of annual leave plus bank holidays, with the option to purchase additional holiday.
• Generous and flexible pension schemes.
• Two paid volunteering days each year for a cause of your choice.
• Westfield Health membership, providing refunds on medical services alongside Aviva Digital GP services.

We also offer a variety of well-being initiatives to promote positive mental health both in and out of the workplace, including our Flexible by Choice program, which allows colleagues to choose a hybrid working arrangement based on their role, team, and client needs.

We have been recognized as one of the Best Workplaces for Wellbeing for Large Organizations in 2024.

Our commitment to responsible business practices is integral to our identity. We strive to create a diverse and inclusive workplace where all colleagues can thrive, supported by various inclusion network groups.

Our dedication to social responsibility, community investment, and addressing climate change is fundamental to our mission, encompassing four key areas: Our People, Our Community, Our Environment, and Our Pro Bono efforts.

Additional Information

As part of the onboarding process, all successful candidates will undergo an employment screening process to ensure adherence to our standards of honesty and integrity, safeguarding the interests of the organization, colleagues, clients, partners, and stakeholders.

This screening will include checks for eligibility to work in the UK, criminal records, and financial assessments, conducted with our trusted third-party partners.

The employment screening process will comply fully with Data Protection and applicable laws.

Irwin Mitchell LLP is an equal opportunity employer.