Senior Compliance Analsyt

at  Pinsent Masons

RELEVANT EXPERIENCE:

Four years previous compliance experience in a law firm or other professional services organisation

To include but are not limited to the following:

• Onboarding new clients and matters, specifically:
• Carrying out money laundering checks and risk assessments to ensure that the firm complies with its obligations under anti- money laundering legislation and the firm’s anti-money laundering policy;
• Seeking approval for high-risk clients and matters;
• Carrying out conflict searches and clearing conflicts;
• Carrying out business intelligence searches in respect of clients and matters, including public profiles/websites, electronic screening and other appropriate databases;
• Checking and verifying information provided by the requesting teams;
• Arranging for the implementation of information barriers, where required.
• Providing support in relation to regulatory and compliance requirements.
• Dealing with general onboarding enquiries from the business.
• Analysing potential conflicts of interests.
• Building a good rapport with other departments.
• Understanding of the firm’s client base.
• Actively participating in team meetings.
• Providing support and acting as a point of escalation for junior team members.
• Assisting in training as required.
• Involvement in ad hoc projects

PURPOSE OF THE ROLE:

This role is part of the Regulatory Team within the GCO and supports its purpose by helping to ensure that the firm complies with its legal and regulatory obligations in respect of AML/KYC, sanctions and conflicts of interests.
The Regulatory Team operates on a regional basis and this role will primarily focus on team members local region however, support and assistance is to be provided in all of the jurisdictions in which we operate, where required.

MAIN DUTIES AND RESPONSIBILITIES:

To include but are not limited to the following:

• Onboarding new clients and matters, specifically:
• Carrying out money laundering checks and risk assessments to ensure that the firm complies with its obligations under anti- money laundering legislation and the firm’s anti-money laundering policy;
• Seeking approval for high-risk clients and matters;
• Carrying out conflict searches and clearing conflicts;
• Carrying out business intelligence searches in respect of clients and matters, including public profiles/websites, electronic screening and other appropriate databases;
• Checking and verifying information provided by the requesting teams;
• Arranging for the implementation of information barriers, where required.
• Providing support in relation to regulatory and compliance requirements.
• Dealing with general onboarding enquiries from the business.
• Analysing potential conflicts of interests.
• Building a good rapport with other departments.
• Understanding of the firm’s client base.
• Actively participating in team meetings.
• Providing support and acting as a point of escalation for junior team members.
• Assisting in training as required.
• Involvement in ad hoc projects.