We are looking for a Risk and Compliance Analyst to join our small team and assist with AML checks, risk and compliance, and conflict checks.
This is a varied role managing the firm’s New Business Intake (NBI) procedures and assisting generally with the day-to-day function of the Compliance Department.
Previous experience of working in a Risk & Compliance Department is essential. It is crucial that the successful candidate has a good eye for detail and an appreciation of the bigger picture. You will be confident in building good working relationships with cross-functional stakeholders of varying levels of seniority.
Key Responsibilities
Assisting the business in the efficient and effective discharge of its regulatory duties; Carrying out AML and conflict checks; Assisting staff in opening files for both existing and new clients; Carrying out online AML and credit/sanctions checks for both existing and new clients; Online research into prospective clients before on-boarding; Identifying possible conflict situations and escalating to senior staff in accordance with the firm’s NBI procedures; Daily maintenance of client ID and company information, both electronically and in hard format; Assisting with file audits to ensure client files meet regulations; Keeping an up-to-date register of undertakings and circulating to staff on a monthly basis; Keeping an up-to-date register of gifts/hospitality and sending quarterly reminders to staff that gifts/hospitality must be reported to Compliance; Keeping an up-to-date register of internal breaches; Ad-hoc compliance tasks as instructed by the Compliance Manager and COLP. Required Skills and Qualifications
Excellent attention to detail and organisational skills. Ability to handle confidential information with integrity. Strong communication skills and ability to work collaboratively within a team. Willingness to learn and adapt in a fast-paced environment. Strong IT skills (Outlook, Word, and Excel). Experience
Experience in a similar role within the legal sector is essential. Hybrid Working
The role requires 3 days in the office and 2 days at home.
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Assisting the business in the efficient and effective discharge of its regulatory duties; Carrying out AML and conflict checks; Assisting staff in opening files for both existing and new clients; Carrying out online AML and credit/sanctions checks for both existing and new clients; Online research into prospective clients before on-boarding; Identifying possible conflict situations and escalating to senior staff in accordance with the firm’s NBI procedures; Daily maintenance of client ID and company information, both electronically and in hard format; Assisting with file audits to ensure client files meet regulations; Keeping an up-to-date register of undertakings and circulating to staff on a monthly basis; Keeping an up-to-date register of gifts/hospitality and sending quarterly reminders to staff that gifts/hospitality must be reported to Compliance; Keeping an up-to-date register of internal breaches; Ad-hoc compliance tasks as instructed by the Compliance Manager and COLP. Required Skills and Qualifications
Excellent attention to detail and organisational skills. Ability to handle confidential information with integrity. Strong communication skills and ability to work collaboratively within a team. Willingness to learn and adapt in a fast-paced environment. Strong IT skills (Outlook, Word, and Excel). Experience
Experience in a similar role within the legal sector is essential. Hybrid Working
The role requires 3 days in the office and 2 days at home.
#J-18808-Ljbffr
