An opportunity has arisen to work within the Compliance Department of a full service law firm in London. (Mixture of working at home and in the office).
The Compliance Assistant will assist the Compliance Manager and the COLP.Key responsibilities.
Person SpecificationEssential skills
- Updating key information in compliance policies, plans and procedures;
- Reviewing client due diligence documentation and carrying out risk assessments, ongoing monitoring and due diligence on clients.
- Assisting in the ongoing monitoring of existing clients and updating due diligence for existing clients;
- Providing advice on AML/CTF to fee earners and other professionals;
- Obtaining relevant information on new matters, if required, in order to make a judgement call on whether a conflict or potential conflict is present;
- Screening all clients and matters for sanctions;
- Assisting in the review of the compliance policies and procedures and the management of the firm's quality accreditations.
- Conducting ad-hoc research in all areas of compliance;
- Maintaining various records including the training and induction logs of compliance training;
- Organising meeting and diary assistance for the Compliance Manager;
- Assisting with the Lexcel Independent File Reviews and Lexcel Annual Maintenance;
- Any other duties as may be requested from time to time by the Compliance Manager or other Business Services Heads of Department.
- Educated to degree level and a strong working knowledge of SRA rules;
- Previous experience working in a law firm;
- A track record of being able to make decisions on compliance matters;
- Working knowledge of AML rules;
- Excellent interpersonal skills - the person will liaise with both lawyers and business services groups, in each case at all levels of seniority and from all offices;
- Excellent time management, planning and organisational skills;
- Proficient with Microsoft applications, including Outlook, Word and Excel;
- A high attention to detail to produce work/documentation which is consistently of a high standard;
- Excellent research skills;
- 6 months' compliance experience from within a law firm;
- Experience of accreditation marks such as LEXCEL and CQS;
- AML certification (e.g. ICA Certificate in AML);
- Experience in introducing elements of automation tools/IT in compliance procedures.
This is an excellent opportunity for someone who wishes to progress their risk and compliance career within a great firm with a very nice Manager!
It's a full time, permanent position and the salary is up to £30,000.
Do contact Rowena Bubb of Lewis Row Recruitment with any further questions.