Client Matter Inception Clerk

Lancaster & Duke
10 Feb 2019
12 Mar 2019
Contract Type
Full Time
Purpose of the role

To work within a Client and matter inception team, providing the firm with a central resource to ensure we fulfil our regulatory obligations and process all new client and matter inception requests with speed and accuracy.


* To play a key role in embedding new CMI processes, working practices and new practice management system, helping to anticipate and resolve problems and contribute to continuous process improvement.

* Liaising directly with clients to obtain information and documentation relating to set-up, anti- money laundering (AML) and billing.

* Anti-Money Laundering checks – verifying the identities of clients by conducting e-verification checks, using publicly available sources or obtaining and checking identity documents provided by clients. Taking responsibility for assessing the anti-money laundering (AML) information obtained and ensuring this meets the firm’s requirements, escalating as necessary.

* Customer due diligence – working to a standard matrix identifying company ownership and beneficial ownership structures e.g. Shareholders, management structures for corporate clients and politically exposed persons escalating as necessary.

* Conflicts of interest – extracting required data from documentation, conducting conflict checks, ensuring that results are accurately recorded and escalating any potential conflict issues in line with the firm’s policy and procedure.

* Credit Checks – conducting credit checks and ensuring that results are accurately recorded and any

* potential issues are escalated in line with the firm’s policy and procedure.

* Use of the firm’s systems to set up all new clients and matters, ensuring that all required data is captured and recorded, and the correct attributes are applied.

* Ensuring that any non-standard terms are captured and approved in line with the firm’s policy and procedure.

* Completing client and matter maintenance requests; ensuring the end to end process is completed, appropriate approvals are obtained, and any changes are accurately reflected in the practice management system.

* Providing all new clients with a copy of the firm’s welcome pack; ensuring each pack is personalised, of high quality and provides the client with an exceptional first impression.

* Ensuring all compliance documentation is uploaded to the appropriate systems to maintain an accurate audit trail of checks undertaken.

* Providing support on the client and matter inception process including liaising with lawyers and legal support where appropriate.

Technical Skills

* Must be IT literate and have good keyboard skills

* Experience of document/case/practice management systems

* Experienced in the collation, validation and processing of large volumes of data

* Knowledge of compliance regulations would be advantageous

* Previous experience of working in a legal or professional services environment desirable

* Must possess an excellent telephone manner

Person Specification

* An effective communicator both verbal and in writing, with the ability to liaise with clients in a professional manner, striving to deliver exceptional service at all times

* Well organised and methodical with excellent attention to detail

* Effective at investigating issues and seeing a problem through to conclusion, using initiative and directing queries where appropriate

* Conscientious, taking personal responsibility for own work and accountability for its delivery and quality

* Possessing an inquiring mind able to identify issues and question processes in addition to knowing when to escalate

* Excellent team player, sharing in team goals to provide excellent quality and efficiency of service, with a willingness to take on new responsibilities and challenges

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