Risk & Compliance Lawyer

7 days ago

London, United Kingdom Ryder Reid Legal Ltd Full time

Our client, a progressive and forward-thinking global headquartered law firm, has a new opportunity for a Risk & Compliance Lawyer to join their London office on a permanent basis. The position will report to the Director of Intake & Conflicts in conjunctionwith the firm's Compliance Officer for Legal Practice. Working closely with the Compliance Officer for Legal Practice, Money Laundering Reporting Officer, and Director of Intake & Conflicts, this position is responsible for helping to administer almost allaspects of the firm's risk, KYC, and AML procedures, including leading a team of AML analysts and other professionals.

Key responsibilities include:

- Monitoring the firm's systems and controls to ensure they comply with SRA requirements, including (but not limited to) the firm's engagement letters, breach identification, reporting and risk assessment processes, and the firm's processes for file openingand periodic review.
- Monitoring and implementing an appropriate risk register and process for monitoring risk in each practice area.
- Designing and implementing a compliance monitoring plan.
- Recommending enhancements to systems where necessary and preparing business case for spend on enhancements.
- Identifying regulatory / legislative developments that may affect the firm. Ensuring the firm is up to date with legislative and regulatory changes and amending policies, controls, and procedures where necessary.
- Assisting with monitoring potential exposure to sanctions and reviewing and assisting with necessary notifications.
- Advising on AML/KYC issues which affect the firm.
- Assisting with lateral hire appointments including changes to the UK LLP Agreements, registering Partners on Companies House and at the SRA.
- Maintaining SRA required registers including the Undertakings Register and COLP & COFA Breaches Register.
- First point of contact for SRA-related queries.
- Delivering and developing training for fee earners on key compliance areas.
- Managing the Practicing Certificate Renewal process.

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