Quality Assurance and Compliance Analyst

Irwin Mitchell is seeking a highly skilled and experienced Client Onboarding Quality Assurance Specialist to join our team. As a key member of our Client Onboarding Department, you will play a pivotal role in ensuring that our team members complete client due diligence and conflicts checks in line with all legal and regulatory requirements and internal policy and procedures.

• Accreditation and Quality Framework
  • Maintain a client due diligence and conflicts Competency Accreditation Scheme and quality assurance framework that ensures members of the Client Onboarding Department are signed off as competent and technically skilled to meet legal, regulatory and internal policy requirements when conducting client due diligence and conflict checks.
• Quality Assurance
  • Undertake quality assurance of client due diligence and/or conflicts checks in line with the quality assurance framework and internal policies and procedures. Providing prompt feedback to Analysts, Officers and Senior Officers on outcomes, and where required, working in collaboration with team leaders, agree documented technical corrective actions, monitoring the completion of the same.
  • Preparing for and conducting quality assurance meetings with Team Leaders and the Head of Client Onboarding, creating detailed written reports at individual, team and departmental level summarising the outcomes, findings, and recommendations.
  • Raising and reviewing corrective actions against both process failure / regulatory failure and liaising with case handlers and supervisors to close any actions escalating where appropriate.
• Continuous Improvement
  • Recommending improvements to internal operational process and control structures as required, supporting the Client Onboarding Department in implementing process / control improvements as required.
  • Providing feedback to relevant stakeholders on areas for improvements in technical knowledge and/or process improvements and educating colleagues.
• Technical Training and Coaching
  • Conduct regular coaching sessions with members of the Client Onboarding teams to build their technical and functional skills sets identified in the Competency Accreditation Scheme and/or as a result of Quality Assurance recommendations relating to technical competency.
  • Work closely with the relevant Team Leaders and other QA Analysts to evaluate and assess the client due diligence and conflicts technical skills in the teams, conducting regular technical training needs and gap analysis, ensuring that any quality checking issues identified are incorporated into the gap analysis and followed through with any individual / team wide technical training.
  • Help to provide training and case study materials for any new and ongoing training associated with client due diligence and conflict checking.
  • Support the integration of new members of the Client Onboarding Teams by designing and implementing the right technical conflicts and client due diligence training plans for their needs.
  • Build and maintain effective collaborative working relationships with all leaders in the Client Onboarding Department and the General Counsel Team to deliver agreed technical training objectives.
  • Drive significant improvements in client due diligence and conflicts technical skills and knowledge within the teams.
  • Keep up to date with all relevant regulatory, legislative, and technical changes relating to client due diligence and conflicts.
  • Detailed understanding of Irwin Mitchell's Client Due Diligence and Conflict policies, controls, and procedures, and ensure consistent application through technical training across the teams.
  • Proactively build and develop relationships with other functions, particularly the General Counsel Team, to ensure effective sharing of knowledge and promote collaborative working.
  • Cascade technical knowledge and feedback, contribute to bulletins, lessons learnt and knowledge feedback loops to support continuous improvement and best practice.
  • Providing ad-hoc guidance and support to Senior Officers, Officers and Analysts on technical aspects of client due diligence and conflicts.
  About You

We are looking for a highly skilled and experienced professional with a strong background in client due diligence and conflicts. The ideal candidate will have:

• In-depth technical knowledge, skills, and experience of practically applying the legal and regulatory requirements relating to client due diligence and/or conflicts in a law firm, for both domestic and international individual and business clients.
• Should have been working at a minimum level of a Senior Officer with additional Quality Control (QC) or Quality Assurance (QA) responsibilities.
• Good written/oral communication skills required at all levels across the business.
• Demonstrate experience of working autonomously and be able to make decisions within their sphere of responsibility.
• Experience of coaching and mentoring team members.
• Knowledge of 3e
• Knowledge of regulatory requirements for other professional industries such as FCA or of international law firm regulations.
• Experience of preparing and delivering training, both one to one and for large groups.
• Detailed knowledge and practical application in a law firm of: SRA Standards and Rules relating to Conflicts; Financial Crime prevention rules and regulation.
• Passion for quality and regulatory compliance.
• Excellent communication skills both written and verbal.
• Professional and articulate with the ability to influence and deliver clear and concise technical advice.
• Approachable and able to form good working relationships
• Work collaboratively within the team and with other colleagues
• Ability to work under pressure with changing priorities
• Sense of responsibility and ownership
• Excellent organisational skills and time management
• Resilient and energetic personality
• Desire to learn and seek out continuous improvement
• Coaching skills

We offer a range of benefits to support your career and well-being, including:

• 25 days holidays as standard plus bank holidays - You can 'buy' up to 35hrs of extra holiday too.
• Generous and flexible pension schemes.
• Volunteering days – Two days of volunteering every year for a cause of your choice (fully paid)
• Westfield Health membership, offering refunds on medical services alongside our Aviva Digital GP services.

We also offer a wide range of well-being initiatives to encourage positive mental health both in and out of the workplace and to make sure you're fully supported. This includes our Flexible by Choice programme which gives our colleagues more choice over a hybrid way of working subject to role, team and client requirements.

We have been ranked in the Best Workplaces for Wellbeing for Large Organisations for 2024

Our responsible business programmes are fundamental to who we are and our purpose. We're committed to being a diverse and inclusive workplace where our colleagues can flourish, and we have established a number of inclusion network groups across our business to support this aim.

Our commitment to Social Responsibility, community investment activity and tackling climate change is a fundamental part of who we are. It's made up of four strands: Our People, Our Community, Our Environment and Our Pro Bono.