Risk & Compliance Officer

Maurice Turnor Gardner is currently looking for a Risk and Compliance Officer to join our Business Acceptance Unit (BAU) team. This would ideally be a permanent position but MTG is also prepared to consider candidates looking for a minimum 12-month fixed term contract. This role should not be considered a route to obtaining a training contract or SQE experience.

Duties

The Risk and Compliance Officer’s duties will include but not be limited to the following:

• Reporting to the Head of Risk and the Risk and Compliance Analyst


• Conduct conflict checks in a timely and co-ordinated manner and assist with their analysis


• Support the risk assessment and due diligence exercise during client take-on and for the purposes of ongoing monitoring


• Open files on the case management system accurately and promptly


• Ensure that all due diligence records are filed and maintained to a high standard


• Review new client and matter requests to verify that the information and documentation provided by the client team is accurate and complete in accordance with the SRA, AML, Counter-Terrorist Financing, Counter-Proliferation Financing and Sanctions legal and regulatory framework and the firm’s policies


• Raise and resolve queries with the client team


• Advise on client due diligence required in specific scenarios and how this can be obtained


• Liaise efficiently with Senior Management and the Head of Risk, as appropriate, to obtain approval to open new files or matters


• Review and finalise client and matter risk assessments


• Review and finalise letters of engagement


• Conduct due diligence research relating to new and existing clients and matters using a variety of online tools, such as, but not limited to, Worldcheck, Experian, Google and Bing


• Assist with ongoing monitoring of existing clients and review updates on electronic verifications systems including in relation to clients placed on ongoing screening and updating the client team, if necessary


• Stay abreast of risk and compliance updates including monitoring key websites and organisations for risk and compliance updates, attending relevant webinars and training and providing reports to the Head of Risk and the BAU team


• Assist with internal and external AML audits


• Assist with queries relating to conflicts of interest


• Assist with the firm’s processes in relation to undertakings


• Assist with the firm’s process in relation to breaches


• Assist with the firm’s processes in relation to complaints


• Assist with the firm’s processes in relation to the register of external appointments


• Assist with the firm’s process for archiving files, including in relation to removing names from Worldcheck Ongoing Searches


• Assist with drafting with regard to risk-related policies, controls and procedures.


• Attend weekly BAU meetings


• Promptly raise any concerns regarding non-compliance with policies and procedures with the Head of Risk and/or MLRO, as appropriate


• Promote awareness of compliance requirements within the organisation


• Assist with trialling new software and processes in the BAU, as appropriate


• Liaise with other teams, including Finance and IT, as appropriate


• Ad hoc tasks relating to the BAU

Knowledge and Skills requirements

• Strong academic background


• Ability to quickly master the legal and regulatory framework relating to conflicts of interest, Sanctions, data, Anti-Money Laundering, Counter-Terrorist Financing, Counter-Proliferation Financing


• Strong organisational, analytical and problem-solving skills


• Able to deliver a high level of service and with the highest professional standards


• Excellent IT skills including Word and Excel skills


• High level of attention to detail and accuracy in work


• Ability to quickly develop strong drafting skills


• Awareness of the work undertaken by a law firm that specialises in private client and real estate work, along with an appreciation of legal terms


• Understanding of relevant legal documentation


• Proficiency in technical applications


• Ability to effectively use research applications, such as Worldcheck


• Understanding of key AML monitoring systems


• Excellent project management skills

Personal Attributes

• Professionalism and confidence to liaise at all levels


• Excellent cultural awareness, courteousness and sensitivity


• Sound work ethic and capable of meeting deadlines


• Ability to deal with a wide range of people with differing issues and requirements


• Ability to demonstrate initiative


• Ability to work collaboratively


• Ability to work under pressure


• Excellent communicator


• Can do, proactive attitude

Desirable

• Previous experience in a similar role to this one

Hours

• 9.30am to 5.30pm although 10.30am – 6.30pm is also acceptable and hours may change during busy periods.