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Due Diligence - Private Client

  • Location: City of London, London
  • Sector: Compliance
  • Salary: £35000 - £55000 per annum
  • Job type: Permanent
  • Date posted: 14/08/2018
  • Job reference: 30583
This vacancy has now expired.

Our client seeks an experienced Risk and Operations Assistant to support their Money Laundering Reporting Officer (MLRO) and Compliance Officer for Legal Practice (COLP).

The successful candidate will be an excellent communicator, with the ability to deliver a high level of service in this key role.

Previous experience in a similar role at a firm of solicitors or professional practice would be a distinct advantage, but this position might suit a lawyer looking for a change of role (including after an absence from the profession)

Reporting to the MLRO and Finance & Operations Director, your duties will include but not be limited to:

Supporting the MLRO and Risk Committee with compliance matters to include ensuring compliance with the SRA's regulatory framework, assisting with AML compliance and monitoring sanctions updates

Performing conflict searches

Reviewing new client and matter requests, raising and resolving queries, ensuring AML documentation is complete in accordance with the firm's policies and opening the files on the case management system

Supporting the risk assessment and due diligence exercise during client take-on

Attending and minute taking at risk & compliance and AML team meetings and taking proactive steps to maintain momentum on related internal projects

Monitoring, cleansing and updating of database to include liaising with the finance team on file closures and keeping contacts updated in CRM platform Assisting the Finance & Operations Director with maintaining HR records, to include holiday sickness and training documentation

Assisting with the implementation of internal risk management projects and risk management systems and processes

Ad-hoc project management as and when necessary to include policy writing and updates and setting up new systems and processes

Creation of a new system for the archiving and destruction of hard and soft copy client files and project managing the new archiving process

Engagement letter monitoring and management

Excellent organisational and problem solving skills

Excellent word and excel skills Knowledge of the Money Laundering Regulations and the SRA Code of Conduct Excellent attention to detail, analytical and drafting skills

Excellent project management skills

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