Regulatory Compliance Specialist

5 days ago

Glasgow, Glasgow City, United Kingdom Ashurst Full time
About Ashurst

Ashurst is a leading global law firm with a rich history spanning over 200 years. We are proud of our heritage and committed to innovation, having expanded into new technologies through our NewLaw division, Ashurst Advance, and our consulting arm. Our in-depth understanding of our clients and commitment to delivering exceptional service have made us a trusted adviser to local and global corporates, financial institutions, and governments in all areas of commercial law.

Role Overview

As a key member of the Risk Assessment & Business Protection Team, you will play a critical role in ensuring the firm's lawyers (across 31 offices worldwide) conduct thorough financial crime and sanctions risk assessments on their clients and matters. Your expertise will be instrumental in ensuring the firm meets its anti-money laundering and counter terrorist financing obligations globally.

Main Responsibilities
  • Risk and Control: Ensure all activities and duties are carried out in compliance with regulatory requirements and internal policies.
  • Address complex aspects of implementing the firm's AML/ABC compliance policies, identify process improvements, and lead on implementation and training.
  • Research relevant information sources and international databases to verify client identity documentation, adhering to jurisdictional legislation and regulation.
  • Analyze the sufficiency of identity documentation in the context of global firm policy, local anti-money laundering laws, and regulations.
  • Accurately record client and matter information in the firm's Risk Assessment Database.
  • Compose comprehensive written risk assessments, including technical analysis of money laundering, bribery, reputational, and sanctions risks.
  • Liaise with partners, fee earners, and external clients to provide explanations of relevant policy and local laws.
  • Escalate risk information to the MLRO and Head of Financial Crime, as necessary.
  • Ensure ongoing monitoring obligations are met by updating client documents and composing technical written analysis.
  • Address time-sensitive queries from the business, finding resolutions that comply with firm policy and local AML regulations.
  • Provide detailed advice on client or matter risk levels, risk nature, and clearance conditions.
  • Ensure supplier criticality, risk level, data access level, and information security systems are analyzed and remediated, as necessary.
Mentoring & Quality Assurance
  • Review and provide feedback on risk assessments completed by junior team members, identifying additional training needs.
  • Prepare junior team members for 'low, medium, and high' risk sign-off, creating a portfolio of risk assessments demonstrating their readiness.
  • Act as the quality assurance function for the team's BAU work.
  • Triage complex legal escalations, adapting and augmenting as necessary, and providing training and feedback.
  • Lead on preparation and delivery of additional training for junior team members.
  • Assume lead mentorship role for multiple junior members of staff, taking responsibility for their technical and professional development.
Project Work and Control Function
  • Collaborate with senior members of the Financial Crime & Risk team on live projects, as required.
  • Suggest new project work and lead on project planning and implementation, if approved.
  • Lead and direct other team members on live projects, as necessary.
Requirements
  • 5 years' experience in Anti-Money Laundering in the professional or financial services sector.
  • Knowledge of AML/CTF obligations.
  • Degree qualified in Law, Risk Management, Business, Politics, Economics, or related discipline.
  • Ability to read and understand policy and local legislation across 18 jurisdictions.
  • Flexible, versatile, and able to adapt to new situations, processes, and technology.
  • Keen interest in learning about firm-wide legal practices and clients.
  • Good PC skills and experience working with Microsoft Word and Excel.
Desirable Skills and Experience
  • Knowledge of international sanctions regulatory work.
Background Checks

Ashurst will undertake appropriate vetting of staff to comply with regulatory and client requirements. These checks are only undertaken with consent and in accordance with our legal and regulatory obligations.

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