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- Maintaining an understanding for the main components of risk affecting a law firm, e.g. SRA Code of Conduct obligations, AML and Data Protection rules and any other relevant legal and regulatory obligations. Identifying new compliance risks and recommending changes to firm policies and procedures as needed.
- Daily coverage of the shared Risk & Compliance inbox and escalating queries to the Risk & Compliance Officer where appropriate.
- Reviewing and assisting with client risk assessments. • Administering ongoing monitoring, enhanced due diligence and sanction regime procedures.
- Working closely with other business support functions, including our Client Relations Team, IT and Finance.
- Having a proactive mindset towards the ever-changing regulatory landscape, assessing how this may impact the Firm and its existing processes.
- Assisting in compliance projects, including insurance renewals, third party supplier screening and IT projects.
- Analysing conflict search results to identify potential legal and/or commercial conflicts and facilitating the resolution of these.
- Implementing and maintaining information barriers.
- Assisting in maintaining appropriate records, registers and record-keeping architecture.
- Knowledge and awareness of regulatory client onboarding obligations including conflicts, client due diligence and anti-money laundering.
- Ability to use own initiative– a pro-active self-manager who can manage their own workload, identify areas for improvement and drive projects forward.
- Confidence to respond and deal with general compliance queries from colleagues around the Firm.
- Strong attention to detail and an ability to handle confidential information in a professional and discreet manner.
- Analytical thinker, with good communication skills and ability to articulate reasoning clearly and succinctly.
- 2-3 years relevant experience within legal compliance.
