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Risk and Compliance Assistant

2 months ago

Manchester, United Kingdom DiverseJobsMatter Full time

About the Role:

The Business Acceptance Unit (BAU) at DiverseJobsMatter is seeking a highly skilled and detail-oriented Risk and Compliance Assistant to join our New Clients/AML Team. As a key member of the team, you will play a crucial role in ensuring the firm's compliance with regulatory obligations by managing and mitigating risk.

Key Responsibilities:

  • Conduct thorough Anti-Money Laundering (AML) and Client Due Diligence (CDD) checks on new and existing clients across various sectors, practices, and jurisdictions.
  • Investigate and analyze high-risk factors, including Politically Exposed Persons (PEP) involvement, state ownership, complex structures, and sanctions information.
  • Escalate high-risk factors, draft referrals, and obtain senior management approval in line with the firm's escalation process.
  • Undertake matter risk assessments, evaluating all mitigating and high-risk factors.
  • Maintain internal databases, including client due diligence and sanctions information.
  • Support task/project-based work in relation to risk monitoring systems and controls, as directed by management.
  • Advise on day-to-day queries regarding the firm's AML policies and their implementation.

Requirements:

  • Experience working in risk and compliance within a law firm, accountancy, or financial services environment (preferred but not essential).
  • Ability to conduct extensive research, review AML/supporting documentation, and critically analyze complex information.
  • Ability to work at pace, managing and prioritizing conflicting deadlines, and promptly responding to queries and concerns.
  • Experience building rapport and trust with stakeholders of all levels to enhance communication and create a supportive work environment.
  • Basic knowledge of relevant laws and regulations, including The Money Laundering and Terrorist Financing Regulations 2019 or Equivalent, POCA, UN, UK, and US Sanction regimes, as well as the SRA Code of Conduct 2019.
  • Proficient use of Microsoft Office software, including Outlook, Word, Excel, and Intapp (desirable).