Compliance Assistant

About this role

Compliance Assistant

The Firm’s General Counsel’s office team is based in London and is responsible for dealing with all customer due diligence (CDD) and conflicts queries for the Firm (including foreign offices). There are currently 30+ team members (including this role) plus a Compliance Partner who is the Money Laundering Reporting Officer (MLRO).

Roles and Responsibilities

• Manage the Client Due Diligence (CDD) mailbox by responding the queries, flagging emails for the NBI Managers and filing of emails
• Identifying urgent requests and helping the team to prioritise them
• Carrying out World Check searches on the names of clients and related parties
• Carrying out sanctions checks
• Filing CDD records into electronic in-trays for internal use
• Running conflict searches and sending results to Fee Earners
• Assisting with file opening by opening matters for existing clients and pushing new clients through the relevant workflows for the Analyst team to work on
• Reviewing risk assessment forms submitted by fee earners
• Conducting electronic verification (EV) checks on individual new clients
• Ad hoc support for the Analysts, NBI Managers and Head of NBI
• Assisting with other administrative tasks as and when they arise
• Comply with all relevant legal and regulatory obligations including the Solicitors Regulation Authority (SRA) Standards and Regulations, and Principles.

Skills and experience

Desirable

• Previous administrative experience is preferable
• Strong IT skills including Excel, Word, and Outlook

Person specification

• Demonstrate a positive outlook and hard-working ethic
• The ability to learn quickly and listen to instructions carefully

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

Charles Russell Speechlys is an Equal Opportunities Employer, and we are committed to developing an increasingly diverse, inclusive and supportive culture where everyone can be themselves, feel valued, and that they can thrive and belong. Please see here for more information on our employee-led DEI Networks.

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

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