Compliance Officer

3 days ago

Liverpool, Liverpool, United Kingdom AJ FOX COMPLIANCE Full time
Compliance Officer Job Description

We are seeking a highly skilled Compliance Officer to join our team at AJ FOX COMPLIANCE. As a Compliance Officer, you will play a critical role in ensuring the firm's compliance with Anti-Money Laundering (AML) regulations and sanctions.

Key Responsibilities:
  • Advisory Role: Provide guidance to secretaries, fee earners, and partners on best practices for client matter opening procedures.
  • Project Management: Carry out ad hoc tasks and projects to implement and develop risk-led initiatives within the team.
  • Knowledge Management: Maintain up-to-date knowledge of the firm's relevant processes, policies, and procedures, as well as industry standards.
  • Training and Development: Provide training on the firm's relevant policies and procedures to new joiners.
  • Process Improvement: Support improvements to systems and procedures, including conflicts procedures and supporting software.
  • Junior Support: Support junior members of the team in their roles.
  • Client Review: Review new client and matter forms to ensure complete details are provided.
  • Conflict Analysis: Conduct conflict searches and analyze search results.
  • Liaison: Liaise directly with Partners and Fee Earners on identified potential legal or commercial conflicts.
  • Process Enhancement: Suggest process improvements to conflicts procedures and supporting software.
  • Information Barriers: Implement information barriers as required.
  • Issue Escalation: Escalate high-risk issues to the Money Laundering Reporting Officer.
  • Client Analysis: Analyze and establish the corporate structure of the client where relevant and identify the beneficial ownership.
  • AML Monitoring: Undertake ongoing AML/Sanctions monitoring of high-risk clients.
  • Client Monitoring: Perform ongoing monitoring of existing clients.

Requirements: To be successful in this role, you will need excellent communication skills, a team player attitude, and great attention to detail. You will also need a legal education, knowledge of the SRA rules, and risk and compliance experience gained at a law firm.

How to Apply: If you are interested in this Compliance Officer role, please submit your CV for consideration.

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