Client Due Diligence Specialist

1 week ago

Manchester, United Kingdom Irwin Mitchell LLP Full time
About the Role

We are seeking a highly skilled Client Due Diligence Specialist to join our team at Irwin Mitchell LLP. 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.

Key Responsibilities
  1. 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.
  2. Undertake quality assurance of client due diligence and/or conflicts checks in line with the quality assurance framework and internal policies and procedures.
  3. Prepare and conduct 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.
  4. Raise and review corrective actions against both process failure / regulatory failure and liaise with case handlers and supervisors to close any actions escalating where appropriate.
  5. 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.
  6. 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.
  7. Help to provide training and case study materials for any new and ongoing training associated with client due diligence and conflict checking.
  8. 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.
  9. 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.
  10. Keep up to date with all relevant regulatory, legislative, and technical changes relating to client due diligence and conflicts.
  11. 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.
  12. Provide ad-hoc guidance and support to Senior Officers, Officers and Analysts on technical aspects of client due diligence and conflicts.
Requirements
  • 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.
  • Experience of coaching and mentoring team members.
  • Knowledge of regulatory requirements for other professional industries such as FCA or of international law firm regulations.
  • 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.
  • Coaching skills.
  • Training qualifications or experience using different learning methodologies, but 'Train the Trainer' training will be provided where required.
  • Knowledge of client due diligence software such as Smart Search, World Check, or other software providers.
  • Training and/or qualifications in coaching.
About Us

We are a national law firm with a local reach, committed to delivering exceptional legal services to our clients. Our philosophy is 'we're legal and financial experts that care' – something you'll find in the way we work with our clients and how we support our teams. We're a team of people working together to help individuals and businesses navigate life's ups and downs.

We offer a range of benefits, including 25 days holidays as standard plus bank holidays, generous and flexible pension schemes, and Westfield Health membership. We're committed to Social Responsibility, community investment activity and tackling climate change, and we carry out pre-employment screening to establish your eligibility to work in the UK, criminal record and financial checks with our trusted 3rd parties.

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