Risk & Compliance Officer
Salary £30,000 - £50,000 per annum
Consultant Vivianne Joor
Date posted 03 October 20192019-10-03 2019-12-02 legal Guildford Surrey GB GBP 30000 50000 50000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
A new and exciting Risk & Compliance opportunity has just become available with a well-established regional firm. This role offers an excellent opportunity for a Legal Risk & Compliance professional looking for a new challenge. This role would involve carrying out CDD, sanctions screening requests, conflict searches and carrying out analysis of conflict searches.
- Responsible for day to day tasks relating to all aspects of Client and Matter Inception process
- Undertaking client due diligence checks, and determining the nature and level of due diligence required in order to comply with Anti-Money Laundering Regulations
- Using databases, external and internal and conducting research as part of this due diligence
- Assessing the risk profile of new and existing clients and matters and escalating issues appropriately
- Liaising with partners and fee earners to obtain further information to assist with AML and conflicts analysis and to escalate any issues to the Head of Compliance or another member of the compliance team as appropriate.
- Providing advice to fee earners and secretaries on Anti-Money Laundering, general inception, and conflicts queries.
- Carry out conflict searches and be able to identify, and escalate appropriately, any conflict issues arising out of searches undertaken or reviewed
- Responsible for ensuring appropriate information barriers are created, amended and maintained, whilst ensuring that any issues arising out of the information barrier process are flagged to supervisor and business as required.
- Carrying out inductions for new secretaries who join the firm as appropriate
- Implementing or developing best practice standards and procedures in relation to client acceptance, and if required in other areas.
- To keep up to date with relevant regulatory and compliance developments and assist with monitoring actual and potential compliance risks.
- To update and implement any changes to compliance policies and practices.
- Deliver or assist with Risk and Compliance training for the firm.
- Educated to degree level
- Experienced in compliance, ideally gained a law firm (Non-graduates with previous risk and compliance experience will be considered)
- Attention to detail and the ability to maintain accurate records.
- Proven ability to solve problems in a methodical, practical way and provide solutions to client issues
- Experience in Anti-Money laundering and/ or Conflicts, preferably in a law firm, would be ideal
- Excellent interpersonal skills, Confidence and ability to engage with partners, fee earners and other members of staff.
- A high standard of written and oral communication
- PC literate with a good working knowledge of MS Office, e.g. Word, Excel, PowerPoint and Outlook
- Ability to adapt to new processes and technology
- Knowledge of applicable anti-money laundering regulations.
- Ability to work independently and as part of a team.
- Responsive to the demands of lawyers and the ability to work under pressure.