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Client Due Diligence Officer
2 weeks ago
We’re a national law firm with a local reach. Our legal experts are here for you. Whether it’s personal or business, we understand that everyone’s situation is different. But we’re more than just a law firm - we’re a team of people working together to help individuals and businesses navigate life’s ups and downs. Working here you’ll feel a part of our friendly and inclusive environment.
- We’ll value you for who you are and what you bring. We support each other and push boundaries to achieve incredible things and make a real difference to our clients and communities.
- We're always looking to support our colleagues to work in a way that works best for them and everyone else, including our clients, the business and the regulators. Please speak to a member of our Recruitment and Onboarding team for more information.
- **Your Role and What You'll Be Doing**- First impressions count and our team has a key role in setting the high standard of service that our clients expect of Irwin Mitchell. As part of the team, you’ll play a critical role in ensuring compliance with legal and regulatory requirements and maintaining the firm’s reputation for integrity and ethical practices.
- Your role involves conducting client due diligence and conflict of interests checks on potential clients and their matters. You’ll also provide guidance and support to colleagues on compliance with our rules and regulations, and internal IM policies relating to onboarding our clients, acting as a key point of contact for internal stakeholders.
- Key Responsibilities:
- **Client Due Diligence**- Conducting due diligence research and checks on clients, related parties and matters ensuring compliance with relevant legal and regulatory requirements, including KYC and KYB checks, sanctions and PEP and adverse media checks.
- Engaging with the fee earner, client or other related party to resolve any information gaps.
- Preparation of Client Risk Assessments and CDD packs for review by the fee earner as well as actively supporting / providing guidance to the fee earner through the client and matter risk assessment process.
- Promptly escalating any high-risk matters to the Team Leader, with an analysis of risks and proposed mitigation management.
- Completion of ongoing monitoring on existing clients and their matters, promptly escalating to the Team Leader any risk assessments with a change in risk rating to high. Referring complex questions to the Coach and if required, GCT, with their opinion and proposed solution and promptly agreed actions.
**Conflicts Checks**- Investigating, analysing and managing conflicts by interrogating IM systems, running searches to establish the type of potential conflicts, connections between parties or confidentiality concerns and engaging with fee earners.
- Documenting decision and analysis and filing all documents and information on IM systems.
- Providing guidance and advice to fee earners on compliance with policies and procedures relating to onboarding conflicts queries.
- Escalating any complex queries to the Coach with their opinion and proposed solution and promptly following up on agreed actions.
- Promptly escalating any complex / high risk conflicts checks to the Team Leader.
**Communication and Customer Focus**- Effective communication and excellent customer service is vital in this role. The Officer liaises with internal stakeholders, such as partners, fee earners, and other support teams, to gather information and resolve any issues that may arise during the onboarding process.
**Continuous Improvement**- Make recommendations to Team Leader on any improvements to processes and/or procedures, developing themes with colleagues that they may become aware of as part of the day-to-day activities.
**About You**-
- Strong knowledge and understanding of SRA Standard and Regulations relating to conflicts and client due diligence, anti-money laundering (AML) regulations, sanctions regimes, and other financial crime prevention relevant legislation and regulation.
- Experience in conducting due diligence checks and conflict searches in a law firm.
- Excellent analytical and problem-solving skills, with the ability to identify and assess potential risks and conflicts.
- Excellent research, investigation and decision-making skills.
- Proficient in using client due diligence software systems and other related tools.
- High attention to detail and strong organisational skills, with the ability to manage multiple tasks and priorities effectively.
- Strong interpersonal skills, with the ability to collaborate effectively with colleagues at all levels of the organisation. Demonstrated ability to build and maintain positive working relationships, fostering a culture of trust and collaboration.
- Knowledge of 3e desirable
- Knowledge of regulatory requirements for other professional industries such as FCA or of international law firm regulations.
**Our Benefits - What We Can Offer You**-
- 25 days holidays as stan
