Our client, a world-leading asset manager, is recruiting for a Compliance Paralegal to join the legal team in the Hertfordshire office. The role will report into the Head of Legal and offers flexible working arrangements, with three days in office and two days from home. This role is responsible for maintaining the legal requirements, integrity and ethical standards of the Company ensuring compliance with applicable legislation and regulatory requirements and monitoring and carrying out effective due diligence on counterparties including KYC, AML and DD compliance, sanctions screening, Politically Exposed Persons (PEP) checks, bribery and corruption prevention and data protection compliance. The Compliance Paralegal sits within the legal department and works across the organisation to ensure all aspects of compliance are duly met. The role also engages with external advisors as and when necessary, with the support and under the guidance of the Head of Legal and internal legal counsel.

Duties and Responsibilities

• In conjunction with the Head of Legal update, implement and manage robust and comprehensive compliance policies and procedures.
• Stay up to date with industry standard practices and legal and regulatory updates or changes.
• Assess and identify any risks or concerns in respect of any compliance issues impacting the Company.
• Provide screening of third-party contractors and customers and prepare Customer Due Diligence reports, which shall include the full compliment of screening including: anti-money laundering screening; sanctions screening; PEP screening; An independent review of a customer’s business registration details; A high level jurisdictional risk assessment of a jurisdiction based on various screening services and monitored lists and databases in order to detect and prevent suspicious transactions and activities and if detected assess the associated risks and any mitigants.
• Assist with training of other departments to advise of the various legal and regulatory compliance requirements.
• Ensure the Company’s compliance with data protection regulations including the GDPR and related regulations.
• Interact with regulatory agencies, external auditors and legal advisors if required.
• Liaise with the Company’s parent company to ensure compliance with the group’s overall compliance requirements.

If you are interested and would like to apply for this exciting opportunity, please submit your CV through the job advert and/or reach out to phoebe.ogilvie@robertwalters.com with your CV to be considered.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates