Compliance Analyst, 6m FTC

About this role

Compliance Analyst, 6m FTC

The General Counsel’s Office is based in London and led by the firm’s General Counsel.

The team advises the firm on all aspects of its legal and regulatory duties, including financial crime compliance, SRA STaRS, risk management, client engagement terms, complaints and claims, internal investigations, insurance, governance, external vendor contracts and data privacy. The legal team currently comprises 9 lawyers and 2 paralegals.

Roles and Responsibilities

New Business Intake

• Carrying out CDD on a full range of clients including individuals, companies and trusts analysing CDD material provided by clients and advising whether further information is needed to complete the CDD process;
• Carrying out risk assessments at client inception and also when CDD records are updated to see whether the client presents a higher than usual risk of money laundering;
• Using a wide range of databases such as World Check, Companies House, Orbis and Experian to obtain CDD information;
• Carrying out research to establish whether there is any adverse press about a prospective client and assessing its relevance;
• Carrying out searches to identify whether a client is a politically exposed person (PEP) and preparing emails for Senior Management approval;
• Carrying out searches against the HM Treasury consolidated sanctions list (sanctions screening);
• Answering queries from clients, partners, fee earners and other support staff about CDD requirements

Ad Hoc

• Where appropriate, carrying out conflicts searches using data submitted by partners and other fee earners & reporting back to the partner/ fee earner on the results of the search;
• The role also involves assisting with certain administrative tasks such as keeping the team’s filing up to date, archiving and data entry;
• Assisting with file audits;
• Ongoing PEP monitoring and sanctions screening for payments using Worldcheck;
• Comply with all relevant legal and regulatory obligations including the Solicitors Regulation Authority (SRA) Standards and Regulations, and Principles.

Skills and Experience

• Previous experience with Elite and AML databases would be an advantage;

Person Specification

• The successful candidate will ideally be degree qualified;
• A particular interest in anti-money laundering and counter-terrorist financing work;
• Good IT skills including proficient use of Excel, Word and Outlook.

Competencies

• Working together

• Integrity and respect

• Inclusive

• Personal impact and growth

• Driving high standards
• Commercial mindset
• Client - centric
• Responsible Business

Hybrid working - We adopt a hybrid and flexible working approach, dependent on the requirements of the role and subject to manager approval.

For a detailed specification please download the job description in the documents section of this page.

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At a glance

Category

Documents

Job Description

About compliance & regulatory roles for ex-police

Compliance, AML and regulatory roles. Working to PACE, RIPA and CPIA is a stronger regulatory grounding than most civilian applicants can offer — firms increasingly recognise this.