KNOWLEDGE, SKILLS, AND EXPERIENCE REQUIRED:

• Proven experience working in a Client Compliance administration role; preferably in the legal or other professional services sector.
• A good understanding of Anti-Money Laundering (AML) Regulations and the wider CDD requirements and process, including identifying and tracing ownership of client structures, PEPs and Sanctions .
• An understanding of source of funds and conflicts of interest is desirable.
• Commitment to delivering excellent customer service and a proven ability to communicate effectively with colleagues and the wider business at all levels.
• Ability to make decisions independently but with a clear understanding of when to escalate to management).
• Ability to identify and resolve data discrepancies and gaps in information required for client compliance and onboarding.
• Ability to work under pressure and to manage concurrent demands and deadlines.
• Strong interpersonal skills and ability to work effectively as part of a team in a supervisory role.
• A good understanding of case management systems and workflow processes.
• Flexible in approach to work, location and hours worked if required.
  Other information

JOB PURPOSE

• 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.
• To jointly supervise the day to day work and provide guidance to the Client Compliance Team Officers.
• To liaise with and provide appropriate guidance to legal teams regarding file opening and the CDD process.

RESPONSIBILITIES AND DUTIES:

• Supervising and participating in the day-to-day work of the Client Compliance team to ensure an efficient workflow.
• Completing and analysing conflict check reports and escalating when required.
• Using the firm’s file opening request system and processes, ensuring full and accurate data is provided to complete the CDD process, including managing the outstanding CDD process.
• Obtaining, checking, and verifying client CDD documentation to ensure all requirements are met. This can include tracing complex and unusual client structures (often companies or Trusts), reviewing source of funds evidence, identifying issues and missing information and escalating to management where required.
• Opening and amending client and matter files in the firm’s case management systems.
• Training Client Compliance Officers and also staff in fee earning groups where required.
• Providing first line of support to Client Compliance Officers to resolve queries .
• Carrying out file opening quality audits and spot checks on files to ensure the procedures have been followed.
• Maintaining the team’s policies, user guides and procedure documentation.
• Contributing to discussions on improvements in how we work, our systems and processes to improve efficiency and enhance the business user experience.
• Providing additional support to Information Services & Client Compliance Manager as required, and particularly during absence of Client Compliance Team Leader.
• Participation in any special projects under the direction of the Information Services & Client Compliance Manager or Team Leader as required to meet the needs of the business.
• Attendance at meetings and such training courses as agreed with management.