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Risk and Compliance Assistant

Level:
Other
Job Term:
Permanent
Location:
London
Position/Type:
Operations/Other, Legal Knowledge Management, Legal Risk and compliance
Salary Description:
Competitive salary and benefits
Posted:
02/03/2018
Recruiter:
Boodle Hatfield
Job Ref:

This is a new position for a Risk and Compliance Assistant to join the Risk and Compliance team.  The successful candidate will work closely with the Risk and Compliance Manager and existing Risk and Compliance Assistants to help ensure that the firm complies with relevant regulations, particularly in relation to new client and matter take on procedures.

Responsibilities 

The successful candidate will report directly to the Risk and Compliance Manager and will work alongside the existing Risk and Compliance Assistants, taking joint responsibility for the following:

  • Client and matter inception
    • Receive and evaluate new client and matter opening forms from Fee Earners and create new files on the system
    • Run system and firm-wide conflict checks and complete additional research where required
    • Anti-money Laundering (AML) checks
  • Respond to basic queries about documentation required for AML checks
    • Review AML documentation
    • Use online systems to verify the identity of new clients and run background checks
    • Monitor the Compliance inbox for emails
  • Run sanctions checks on new clients and in line with sanction list alerts
  • Assist with engagement letter monitoring for new clients and matters
  • Complete client and matter records maintenance e.g. updating outdated records
  • Assist the Risk and Compliance Manager with ad hoc projects and provide cover where necessary
  • Assist with any other duties that might be reasonably assigned to the role
Experience and Skills Required
  • Previous experience of opening new client matters and conducting conflict of interest checks  
  • Previous experience of conducting client due diligence in line with anti-money laundering regulations 
  • Basic understanding of compliance rules and SRA requirements in a law firm
  • Some experience of working in a law firm in a similar role 
  • A proven ability to work well in a team, with a willingness to cover for other team members where appropriate
  • Adopts a methodical and structured approach to work
  • The ability to balance responsibility for routine day to day tasks, with ongoing project work 
  • A quick learner, able to use initiative and make sensible judgments when deciding whether or not to escalate issues
  • Excellent attention to detail and strong interpersonal skills 

Please send your CV to Jodie Bedford, HR Assistant at Boodle Hatfield via the 'Apply Now' button.

Closing Date:
03/04/2018

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