We are expanding our Compliance team to support the firm's continued growth and the delivery of a strategic transformation programme to centralise the client and matter inception process.
We are looking for a candidate who is comfortable working in a changing environment, can adapt to evolving responsibilities, and is motivated by the opportunity to help design and embed new ways of working across the firm.
Currently, many client onboarding activities, including client due diligence, conflict checks and risk assessments, are undertaken by individual fee earners. Our long-term objective is to transition to a centralised client and matter inception function. This role will play a key part in that journey, working closely with legal teams, Compliance, IT and other stakeholders to support the implementation of the new operating model.
Initially, the successful candidate will undertake and oversee existing AML and CDD compliance activities, while helping to identify process improvements and drive adoption of the new approach. As the centralised function develops, the role will act as a subject matter expert and escalation point for the wider onboarding team.
The role will work closely with the Compliance Manager and Head of Compliance, escalating higher-risk matters, regulatory concerns, suspicious activity, conflicts issues and other compliance-related queries as appropriate. The successful candidate will also support the development of policies, procedures and controls that underpin the firm's client and matter inception processes.
This is an exciting opportunity for someone who enjoys improving processes, supporting change and helping to build a best-practice client onboarding function that supports both regulatory compliance and excellent client service.
This role reports to the Head of Compliance. It is a full-time position based in either our Derby or Leeds office. Standard working hours are 9:00am to 5:00pm, Monday to Friday. We offer a hybrid working arrangement, providing flexibility to work both from the office and remotely, subject to business and operational requirements.
Key Responsibilities
- Review and assess new client and matter requests, ensuring all required information is complete and accurate.
- Conduct conflict of interest checks, analyse results, and escalate potential issues where appropriate.
- Open and maintain client and matter records within the firm's case management systems.
- Undertake client due diligence (CDD), beneficial ownership verification, sanctions screening, politically exposed person (PEP) checks, and adverse media searches.
- Analyse corporate structures and identify ultimate beneficial owners (UBOs).
- Assess and record client and matter risk ratings, escalating higher-risk matters in accordance with firm procedures.
- Support the implementation and management of information barriers where required.
- Maintain accurate records of onboarding decisions, conflict assessments, and due diligence activities for audit and regulatory purposes.
- Provide guidance to legal teams on AML requirements, source of funds and wealth enquiries, client verification, and onboarding procedures.
- Assist with ongoing monitoring activities and the periodic review of existing client due diligence records.
- Investigate and resolve onboarding queries, including system issues and questions relating to risk assessments, conflicts, sanctions, and regulatory requirements.
- Administer and support the firm's client onboarding and screening platforms, including user management, reporting, and issue resolution.
- Produce management information and performance reports relating to onboarding and compliance activities.
- Deliver training and support to staff involved in client and matter inception processes.
- Identify opportunities to improve onboarding processes, controls, and data quality.
- Support wider compliance projects and other departmental activities as required.
Skills, Knowledge and Expertise
- Previous experience in a legal compliance, AML, client onboarding, risk, or matter inception role.
- Good understanding of anti-money laundering legislation, customer due diligence requirements, and sanctions compliance.
- Knowledge of conflicts of interest principles and risk assessment processes within a legal environment.
- Familiarity with the SRA Standards and Regulations and wider legal regulatory requirements.
- Experience working with client onboarding, electronic verification, or screening systems would be advantageous.
- Strong analytical and problem-solving skills with the ability to assess complex information and identify potential risks.
- Excellent attention to detail and a high level of accuracy.
- Strong organisational skills with the ability to manage competing priorities and deadlines.
- Confident communicator, able to provide clear guidance and support to colleagues at all levels.
- Proficient in Microsoft Office applications and comfortable working with multiple systems.
- Self-motivated, proactive, and able to work both independently and as part of a team.
- A commitment to continuous improvement and delivering a high standard of client service and regulatory compliance.
Please note: Full training and support will be provided, recognising that compliance and onboarding functions can operate differently between organisations.
Benefits
- Competitive salary
- Bonus potential
- Career development opportunities
- 25 days holiday plus bank holidays
- Options to buy & sell 1 week’s holiday
- 1 week’s holiday carry over
- Extra day off for your birthday
- Employee discount scheme for local businesses
- Social days and evenings on the firm
- Staff discounts on legal services