Compliance Expert

2 weeks ago


Bristol, Bristol, United Kingdom TLT LLP Full time
About the Role

We are seeking a highly skilled Compliance Expert to join our team. This is a fantastic opportunity for an experienced professional to take on a key role in ensuring our firm's compliance with regulatory requirements.

The successful candidate will have a strong understanding of anti-money laundering regulations and be able to provide expert guidance to colleagues across the firm.

Key Responsibilities:

  • Manage and implement assessments of high and medium risk clients, including CRP reviews and updating CDD accordingly.
  • Address non-compliance issues in line with internal policies.
  • Work with Client Relationship Partners to ensure AML reviews are consistent with client information.
  • Contact clients directly to explain ML Regulations and seek documentation to comply.
  • Monitor and analyze matter risk assessments.
  • Help ensure the Firm is comfortable acting in particular circumstances and adjust internal controls as needed.
  • Flag high-risk factors for further investigation.
  • FOLLOW BUSINESS ACCEPTANCE PROCEDURES FOR ALL CLIENTS AND WORK OF THE FIRM AND TAKE PROACTIVE STEPS TO HELP ENSURE THAT FEE EARNING TEAMS UNDERSTOOD THOSE PROCEDURES AND ARE COMPLIANT.
  • Liaise with fee earners and others to make informed decisions about CDD requirements and mitigate identified risks.
  • Review and analyze CDD documents to ensure compliance with anti-money laundering regulations.
  • Conduct electronic verification searches using bespoke software.
  • Advise fee earners on complex CDD requirements, including identifying layered beneficial ownership.
  • Conduct source of funds and source of wealth reviews and make decisions on whether risk has been mitigated.

About You

  • Good research and analytical skills.
  • Strong organizational skills and ability to prioritize workload.
  • Excellent communication skills and ability to deal with people at all levels.
  • Ability to work well under pressure and meet deadlines in a fast-paced environment.
  • Accurate data inputting, attention to detail, and accuracy.
  • Good IT skills.
  • Legal qualification desired but not essential.
  • A minimum of one year's experience of conflict checking is required for this role.


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