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- Opening new clients and matters on the Firm’s case management system (currently ‘Liberate’) in line with the Firm’s standards.
- Monitoring the team’s shared mailbox and work with others to ensure that emails, notifications and requests are dealt with or distributed in a timely manner.
- Using electronic customer due diligence (CDD) tools to screen clients.
- Researching clients using publicly available sources including Companies House.
- Communicating clearly with members of the firm on what may be required of clients to fulfil AML requirements.
- Running and understanding sanctions and conflict checks where appropriate on file opening.
- Reviewing client information and risk assessments received from Fee Earners and Secretaries as part of the file opening process and escalating where appropriate.
- Ensuring all relevant documents are uploaded to Liberate in the appropriate folders.
- Collating CDD documents into a single PDF file and updating centralised logs.
- Assisting the Compliance Officer in ad hoc projects depending on business needs.
- Being available for in person queries from members of the firm.
- Escalating queries as appropriate to the Compliance Officer, COLP or MLRO in a clear and accurate manner.
- To communicate with all members of the firm in a supportive and respectful manner.
- While the role is predominantly focused on file opening and CDD checks, over time the successful candidate would also be expected to confidentially deal with straightforward conflict of interest, AML and source of funds/wealth queries in person.
- Although there is no requirement to have experience in all the above key responsibilities, experience in some areas (or transferable experience) would be advantageous.
- Confidence in working and communicating with lawyers at all levels.
- To utilise IT in a paper free environment, including case management systems, as far as possible.
- Able to manage multiple tasks with various priority levels in the team’s shared mailbox.
- Can communicate and build internal relationships with people at all levels.
- Be competent to complete online research and analysis.
- Excellent attention to detail.
- Experience in understanding corporate structures including beneficial ownership and/or working in a law firm with case management systems would be desirable.
