Senior Compliance Advisor

A legal 500 commercial law firm based in the city is seeking a Senior Compliance Advisor, paying up to £58,000 plus benefits, to join their growing team.

After the initial training period, the role will be working on a hybrid basis, 3 days in the office and 2 days working from home.

The position be working closely with the Head of Compliance and will be supporting the COLP as well as the wider firm.

Duties will include the following;

• Reviewing compliance policies, plans and procedures
• Reviewing client due diligence documentation and carrying out risk assessments Ongoing monitoring and due diligence for various client types
• Opening and onboarding new clients to the firm
• Analysing and establishing the corporate structure for clients where relevant, and tracing up to the ultimate beneficial owners
• Assisting in the ongoing monitoring of existing clients and updating due diligence for existing clients
• Providing advice on AML/CTF to fee earners and other professionals
• Obtaining relevant information on new matters, if required, in order to make a judgement call on whether a conflict or potential conflict is present
• Screening all clients and matters for sanctions
• Conducting ad-hoc research in all areas of risk and compliance
• Conducting new joiner compliance inductions, creating awareness around the importance of compliance at the outset
• Assign and coordinate compliance training to all new joiners, and annual refresher training;
• Coordinating with the Lexcel Independent File Reviews
• Assist the Head of Compliance with the maintaining of accreditation renewals (Lexcel and CQS)
• Assist the Head of Compliance with annual AML external audits
• Provide supervision and guidance to the compliance coordinator where appropriate

The ideal candidate come from an extensive compliance background having worked within a law firm in the last year. You will have a strong working knowledge, understanding and articulation of the SRA StaRs and AML Regulations. As well as sound knowledge of DPA/UK GDPR. A strong track record of making compliance decisions as well as training more junior members of the team.

Please be aware this advert will remain open until the vacancy has been filled. Interviews will take place throughout this period, therefore we encourage you to apply early to avoid disappointment.

Tate is acting as an Employment Business in relation to this vacancy.

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