This role as a Compliance Officer - Junior Analyst sits within the firm's Risk & Compliance Team and will involve being part of a team of new business intake analysts:
- carrying out conflict searches using conflict database software and conducting in depth analysis of the results of the searches; and
- performing client identification checks and preparing client and matter risk assessments.
Key responsibilities
- Risk assessing new and existing clients and matters, conducting AML due diligence checks and research, and producing reports.
- Carrying out conflicts of interest checks for the firm within the conflict database software, analysing conflict search results, identifying the existence of potential conflicts and liaising with partners and fee earners to address or clear potential conflicts and open files under the guidance of the NBI Manager.
- Carrying out client and company monitoring processes to keep the firm's records up to date, identifying and reporting any changes to risk level.
- Liaising with lawyers to obtain further information to assist with conflicts and AML analysis and to escalate any issues to the NBI Manager or Head of Risk & Compliance.
- Assisting stakeholders across the firm with client acceptance processes.
- Assisting members of the Risk & Compliance team with team processes and projects as needed.
- Keeping up to date with relevant regulatory and compliance developments and assisting with monitoring compliance risks.
Qualifications and Experience
- Educated to degree level and preferably with previous experience in working in a similar role in risk and compliance.
- Non-graduates with previous risk and compliance experience will be considered.
- Knowledge and/or experience of using business intake systems such as Intapp Open, Orbis, SmartSearch preferable.
- Understanding of the SRA conflicts rules and anti-money laundering legislation.
- Proficient IT skills including the use of the internet as a research tool and ability to learn use of software research tools swiftly.
- Enthusiasm and a desire to provide high levels of service.
- High standards and attention to detail.
- Strong team working skills and a proactive approach.
- Ability to exercise initiative and work independently.
- Excellent time management and ability to prioritise work.
- Confidence and ability to engage with senior stakeholders.
Opportunity
- Pensions Scheme (5% employer contribution)
- Private medical insurance
- Permanent health insurance
- Life assurance
- Receive either the sum of £750 per annum as a travel allowance or reimbursement of carparking expenses via a pay as you go card at a local carpark (likely to be Farnham Road carpark)
- Travel - option to apply for an interest free loan for a season ticket or parking permit
- Enhanced maternity/paternity pay (after sufficient service)
- Critical illness insurance
- Cycle to work schemes
- Give as you earn
- Discounted gym memberships and shopping
- Profit share and discretionary bonus schemes
Diversity & Inclusion
We have a strong commitment to diversity and inclusion (D&I). This drives a strategy which focuses on constant promotion of an inclusive culture that encourages everyone to realise their full potential and be themselves at work. In 2020 we were shortlisted for "Best D&I Initiative" at The HR Awards and for "Best Talent and Inclusion Initiative" at The Lawyer Awards.