Compliance Risk Specialist

1 week ago

London, Greater London, United Kingdom Charalle Recruitment Limited Full time

We are seeking a highly skilled Compliance Risk Specialist to join our team at Charalle Recruitment Limited. As a Compliance Risk Specialist, you will play a crucial role in advising and supporting fee earners and business functions on client matter conduct, including client care, conflicts, anti-money laundering, sanctions, file management, and ensuring that risk and compliance checks are completed in good time.

The ideal candidate will have a law degree and prior experience working within a legal environment. Strong organisational skills, prioritisation in high volume situations, and excellent technical skills are essential for this role. The Compliance Risk Specialist will be responsible for handling conflicts, AML, sanctions, and risk assessment queries, reviewing new client matter forms, identifying clients using data provider software, and reviewing evidence of identification, ownership, and source of funds/wealth.

Key Responsibilities:

  • Handling conflicts, AML, sanctions, and risk assessment queries in the client and matter inbox.
  • Reviewing new client matter forms to ensure complete details are provided and query instances where the information is unclear or incomplete.
  • Identifying clients using data provider software and other online sources.
  • Reviewing evidence of identification, ownership, and source of funds/wealth.
  • Liaising with fee-earners, paralegals, and clients to obtain outstanding information.
  • Analysing conflict check results.
  • Undertaking PEP, sanctions, adverse media screening, and reviewing results as required.
  • Writing risk assessments and providing appropriate risk ratings.
  • Escalating high-risk reports to the MLRO and Risk & Compliance Manager when required.
  • Updating the firm's case management system as an ongoing requirement.
  • Dealing with ad hoc queries, including requests for reopening files and background checks.
  • Conducting retrospective spot checks on clients and matters.
  • Contributing positively to the progression of the team by supporting improvements to systems and procedures.
  • Supporting the Risk & Compliance Manager with projects and tasks associated with the introduction of new processes and regulatory requirements.

Requirements:

  • Law degree or GDL/LPC with a minimum 2:1 grade.
  • Prior experience working within a legal environment.
  • Strong organisational skills and prioritisation in high volume situations.
  • Excellent technical skills.
  • Able to apply initiative and analyse data with attention to detail.
  • Proactive and thrive in a busy, team-oriented environment.

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