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Compliance Analyst

Lewis Row Ltd
Closing date
27 Sep 2021

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Contract Type
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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.
  • 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.

Person Specification

Essential skills
  • 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;

Desirable 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.
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