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Risk and Compliance Specialist

2 months ago

Manchester, United Kingdom DiverseJobsMatter Full time

About the Role

DiverseJobsMatter is seeking a highly skilled and detail-oriented Risk and Compliance Specialist to join our Business Acceptance Unit (BAU) team. As a key member of our team, you will play a critical role in ensuring the firm's compliance with regulatory obligations and mitigating risk.

Key Responsibilities

  • Conduct thorough AML/CDD checks on new and existing clients, analyzing complex information and identifying high-risk factors.
  • Investigate and research using internal databases, third-party information providers, and publicly available information to gather AML/CDD information and documentation.
  • 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.
  • 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 is preferred but not essential.
  • Ability to conduct extensive research, critically analyze complex information, and make informed decisions based on sound judgment.
  • 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 areas of law and regulations, such as 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).

About Us

DiverseJobsMatter is a leading organization committed to providing high-quality services and promoting diversity and inclusion in the workplace. We offer a stimulating environment that fosters individual growth and development, with opportunities for internal progression and continuous learning.