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Senior Client Compliance Officer

3 weeks ago

Guildford, Surrey, United Kingdom DMH Stallard LLP Full time

DMH Stallard LLP is a leading and award winning South East firm of Solicitors providing a full range of legal services to businesses and individuals from offices in London, Brighton, Gatwick, Guildford, Hassocks and Horsham. We now have over 375+ staff (85 partners and 147 other professional staff) and annual revenues of £45m. The firm has undertaken several acquisitions in the past decade and is continuing to look for further acquisitions as part of its strategic growth plans. Our clients, our people and our professional networks are the keys to our success.

The firm operates a centralised client compliance and onboarding team which has 11 members, based in the Gatwick offices. At any one time the firm has around 15,000 open legal matters for around 8,000 different clients.

Regulation

The firm is regulated by the Solicitors Regulation Authority (SRA) and must observe strict regulatory rules in particular in its transactions and financial dealings with clients. As part of our service often involves receiving client money and facilitating the transfer of assets (e.g. house purchase) we fall within scope of the AML Regulations. We must carry out matter risk assessments on all our new legal cases and matters. Along with our Risk Team, the Client Compliance Team play a pivotal role in ensuring the controls and systems are in place to keep the firm compliant with AML and SRA regulatory requirements for client onboarding.

The department

The Information Services & Client Compliance Team handle the Firm's access to online resources, third party legal products and libraries, and File Opening matters including Client ID requirements and money laundering matters. The Team is a vital part of the Firm's Risk Management processes.

Job purpose

  • To support the Client Compliance Team Leader and the wider team in providing efficient and effective client due diligence (CDD), conflict checking services, client and matter file creation and associated administration of the firm's practice management systems.
  • To jointly supervise the day to day work and provide guidance to the Client Compliance Team Officers.
  • To liaise with and provide appropriate guidance to legal teams regarding file opening and the CDD process.

Responsibilities and duties:

  • Supervising and participating in the day-to-day work of the Client Compliance team to ensure an efficient workflow.
  • Completing and analysing conflict check reports and escalating when required.
  • Using the firm's file opening request system and processes, ensuring full and accurate data is provided to complete the CDD process, including managing the outstanding CDD process.
  • Obtaining, checking, and verifying client CDD documentation to ensure all requirements are met. This can include tracing complex and unusual client structures (often companies or Trusts), reviewing source of funds evidence, identifying issues and missing information and escalating to management where required.
  • Opening and amending client and matter files in the firm's case management systems.
  • Training Client Compliance Officers and also staff in fee earning groups where required.
  • Providing first line of support to Client Compliance Officers to resolve queries.
  • Carrying out file opening quality audits and spot checks on files to ensure the procedures have been followed.
  • Maintaining the team's policies, user guides and procedure documentation.
  • Contributing to discussions on improvements in how we work, our systems and processes to improve efficiency and enhance the business user experience.
  • Providing additional support to Information Services & Client Compliance Manager as required, and particularly during absence of Client Compliance Team Leader.
  • Participation in any special projects under the direction of the Information Services & Client Compliance Manager or Team Leader as required to meet the needs of the business.
  • Attendance at meetings and such training courses as agreed with management.

Knowledge, skills, and experience required:

  • Proven experience working in a Client Compliance administration role; preferably in the legal or other professional services sector.
  • A good understanding of Anti-Money Laundering (AML) Regulations and the wider CDD requirements and process, including identifying and tracing ownership of client structures, PEPs and Sanctions.
  • An understanding of source of funds and conflicts of interest is desirable.
  • Commitment to delivering excellent customer service and a proven ability to communicate effectively with colleagues and the wider business at all levels.
  • Ability to make decisions independently but with a clear understanding of when to escalate to management.
  • Ability to identify and resolve data discrepancies and gaps in information required for client compliance and onboarding.
  • Ability to work under pressure and to manage concurrent demands and deadlines.
  • Strong interpersonal skills and ability to work effectively as part of a team in a supervisory role.
  • A good understanding of case management systems and workflow processes.
  • Flexible in approach to work, location and hours worked if required.

Working arrangements

The firm operates a hybrid working policy. Employees are required to come into the office two days a week and may work from home the remaining days of the week subject to the requirements of the business and team. You may be asked to attend the office more than two days by your supervisor. The role is based in the Gatwick office, however occasional travel to other offices (London, Sussex and Surrey offices) may be required.

Recruitment process

Two stage recruitment process:

  • First stage – CV based interview with Client Compliance Team Leader.
  • Second stage – Interview with AML Manager and ISCC Manager.
  • 25 days holiday (of which 3.5 are taken during the Christmas period), plus Birthday holiday, plus Bank Holidays.
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