Senior Client Compliance Officer
Job Type : Permanent, Full Time
Salary : £24000 – £27000/annum competitive salary plus benefits
Senior Client Compliance Officer
My client is an award winning, full-service law firm with an impeccable reputation. They provide a comprehensive range of legal advice to both businesses and individuals. The Information Services & Client Compliance Team handle the Firm's access to online resources, third party legal products and libraries, and File Opening matters including Client ID requirements and money laundering matters. The Team is a vital part of the Firm's Risk Management processes.
The main purpose of the role is to support the Client Compliance Team Leader and the wider team in providing efficient and effective client due diligence (CDD), conflict checking services, client and matter file creation and associated administration of the firm’s practice management systems. You will also jointly supervise the day-to-day work of the ISCC team.
Responsibilities
* Supervising and participating in the day-to-day work of the compliance team, in particular managing the CDD and conflict of interest in-boxes, and the Ignite database to ensure an efficient workflow.
* Obtaining, checking and verifying client ID documentation, identifying issues, and escalating to management with background information where approval/guidance is required.
* Completing conflict checks and follow up with fee earners
* Opening new files in the firm’s practice management systems
* Providing first line of support to the team to resolve queries
* Completing file opening quality audits and feedback with management
* Managing outstanding ID CDD process, contributing to, and implementing strategy for continual improvements.
* Creating CDD reports to present in weekly team meetings and for any other purpose as required
* Participating in maintaining the team’s policies and procedures
* Providing training to the team, and staff in fee earning groups where required
* Contributing to discussions about improvements in the way the work is carried out to maximise productivity
* Providing additional support to ISCC Manager during periods of Client Compliance Team Leader absence and at other times as required
* Attendance at meetings and such training courses as agreed with the Information & Client Compliance Services Manager
* Participation in any projects under the direction of the service managers as required to meet the needs of the business
The ideal candidate will have a previous compliance experience and a good understanding of the CDD process as well as the ability to deal with sensitive and confidential data and an understanding of the need to follow GDPR requirements. You will have the ability to work under pressure and to manage concurrent demands and deadlines. Also required is IT literate and an interest in learning to use a variety of database resources. Experience in a supervisory role is desirable but training will be given as required.
Whilst we would love to be able to respond to every application we receive, it is not always possible. If you have not heard from us within 7 working days, please assume that your application has not been successful on this occasion
More Information
- Address RH10, Northgate, West Sussex
