Risk & Compliance Officer

Lipson Lloyd-Jones

  • Cheapside, Berkshire
  • Permanent
  • Full-time
  • 14 days ago
In the Risk & Compliance Department the role involves providing practice support to the firm's offices on all aspects of risk, regulatory compliance and conflicts in London.Key ResponsibilitiesThe role will include but will not be limited to:
  • Matter Inception: assisting in on-boarding new clients and matters and ensuring that all details are correct in accordance with regulatory standards and firm policy.
  • Anti-Money Laundering: conducting client due diligence, reviewing KYC documentation and undertaking AML and sanctions searches on clients as appropriate and escalating any issues to the MLRO.
  • Terms of Engagement: assisting the firm in maintaining a uniform application of engagement terms as well as reviewing, advising on and recording client imposed terms.
  • On-going monitoring and risk assessment: reviewing any changes to the client which may have an impact on client or matter risk and dealing with these in accordance with regulatory requirements.
  • Matter Maintenance: ensuring that matter information is kept accurate and up-to-date.
  • Compliance reporting, assisting in the production of spreadsheets to monitor client and matter inception process status. Help run weekly / monthly reports.
  • Confidentiality: assisting in setting up and amending information barriers and insider lists as required.
  • Training: providing internal training to the team and wider firm in order to embed best practice.
  • Projects: undertaking research and other projects as needed to improve matter inception, policy and process.
  • Audit: assisting Risk Lawyers in preparation of annual internal file audits.
  • Assisting other teams: Revenue & Collections, Marketing, and Conflicts as necessary.
  • Responding to ad hoc requests as directed by the business.
THE CANDIDATEThe successful candidate will be able to demonstrate excellent administrative skills, as well as the ability to develop strong working relationships with lawyers and business services staff across the firm. It will be essential to gain a rapid understanding of the firm's business in order to support the conflict decisions that need to be made as proactively as possible.
  • A minimum of two year's experience in a compliance function within a regulated organisation, ideally in a law firm
  • Law degree or GDL qualification, with some legal work experience
  • AML experience
  • Demonstrated ability to work within a framework of regulatory compliance
  • The capability, after training if necessary, to identify conflicts and risk within a law firm
  • Resilience and the ability to develop and maintain strong internal and external relationships, while working both autonomously and as part of a global team
  • A high level of proficiency in MS Outlook, Word and Excel
Lipson Lloyd Jones Ltd is acting as an Employment Agency in relation to this vacancy.CompanyLipson Lloyd-Jones was established in 1987 and provides a comprehensive coverage of the legal marketplace encompassing private practice and in-house vacancies throughout the UK and overseas.Private Practice: We are instructed by major practices as well as the full spectrum of small, medium sized, niche and boutique firms, handling vacancies in every legal discipline at every level.In House: Our in-house client base is vast and includes major and minor players in the financial, industrial, manufacturing, construction & engineering, commercial, media, technology, telecoms, transportation, fintech and regulatory sectors as well as start-ups.Professional Support/Knowledge: We have considerable expertise and an impressive track record in this specialist recruitment area.An Individual Service: Our Consultants have a vast wealth of knowledge about this most intricate and specialised marketplace, which is indispensable to every candidate seeking the right career advice, and to every employer seeking the best candidate for each vacancy.
We are well known in the market for our professional, friendly, and enthusiastic approach.Company info Website Telephone 020 7600 1690 Location 107 Cheapside
London
EC2V 6DN
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