Compliance Assistant

A law firm have a great opportunity for a Compliance Assistant to join their team in Leicester.

The role is within a busy small team and involves supporting the firm's lawyers (and non-lawyers) with all aspects of administration of their files as well as the day-to-day operations of a busy law firm.

The ideal candidate will have a high attention to detail, eagerness to learn, be self-motivated and have awareness of client confidentiality and sensitive information. You should be proactive, confident in managing your workload, and comfortable addressing compliance queries across the firm. A passion for problem-solving and the ability to communicate regulatory issues clearly to various teams are essential.

Key Responsibilities include:

• Process and manage client onboarding tasks.
• Performing client onboarding and AML checks for new clients.
• Reviewing application documents, ensuring AML documents are correct and certified up to specified standards, including source of wealth checks and reviewing suitability advice.
• Conduct client risk assessments of new clients and review for sanctions, negative press or PEP’s as per AML guidelines.
• Collaborate with lawyers and team members regarding client onboarding requirements and results.
• Monitor and manage the Client Opening and Info inboxes, escalating queries as needed.
• Maintain accurate and up-to-date client records in the case management system.
• Data-capturing.
• Stay up to date on company policies and procedures.
• Creating, reviewing, and communicating reports required for Client Due Diligence.
• Analyse conflict search results, identifying potential legal or commercial conflicts and supporting the subsequent resolution.

Office Administrative Duties

• Daily document management duties.
• Monitoring incoming queries and routing to appropriate recipient.
• Managing Outlook calendars.
• Handle written and electronic correspondence.
• Schedule meetings, reserve rooms, coordinate video or audio equipment.
• Ad hoc research as required.
• Document creation and editing (including using digital signature software).
• Other duties as necessary for efficient functioning of the Department, Office and Firm.

Knowledge, Skills and Abilities

• Proficiency in Microsoft Office (Word, Excel, and Outlook); experience with Excel and Adobe Acrobat Pro is a plus.
• Meticulous attention to detail in tasks, writing, and numeric figures.
• Excellent communication skills both written and verbal.
• Ability to multi-task and organise own work.
• Ability to prioritise and coordinate work.
• Ability to maintain confidential information.
• Ability to maintain, follow up and complete outstanding tasks.

This is an excellent opportunity for someone wishing to pursue a new, exciting role in legal compliance in a friendly team and firm - perhaps you have experience in this area or some office / legal experience or a law degree, with a strong interest in legal compliance?

If you have any questions or would like to speak to someone further please contact Rowena Bubb of Lewis Row Recruitment.