Compliance Officer

ROLE OVERVIEW //

We are recruiting for a Compliance Officer to join the Legal, Risk & Compliance (“LR&C”) department. The LR&C department advises the firm on the full range of regulatory and legal issues which affect it as a business, playing a key role in risk and reputation management. It is made up of three core teams (business acceptance, information security and privacy and legal) and works in close collaboration with the practice and members of Business Services. The Compliance Officer works within the Business Acceptance team and ensures that all new clients and matters are opened in accordance with the firm’s new business intake procedures. The Compliance Officer is responsible for a range of tasks, including opening matters, running conflict searches, obtaining and lodging engagement letters, and sending the firm’s Terms and Conditions of Business to clients. They also provide support and guidance to all users in the firm, and in the Department, regarding those procedures.

KEY RESPONSIBILITIES //

The key responsibilities of this role are outlined below and there may be others which are not listed. The Compliance Officer team works on a rota basis, covering Monday to Friday from 9am-6pm, and provides extended conflict search cover if the business requires it.

Conflict and sanctions searches

Conduct conflict searches in accordance with firm’s procedures and send results to fee earners for review.

Ensure conflict searches are completed where required under firm policy.

Monitor updates to sanctions lists, run relevant searches against client and matter records, analyse and escalate relevant hits to the Compliance lawyers.

Client and matter record opening and maintenance

Review and approve new client and matter requests, ensuring compliance with data governance standards and formatting guidelines.

Respond to queries regarding client and matter opening, matter security and ongoing matter record maintenance.

Assist with ethical wall and matter security requests and queries.

Terms and Conditions of Business

Send the firm’s Terms and Conditions of Business to new clients and assist with client mailshots.

Collaborate with Compliance lawyers to categorise Outside Counsel Guidelines and other agreed terms in Intapp Terms.

Follow up with matter teams for engagement letters and upload them into Intapp Terms.

Collaboration and support

Proactively contribute to proposing improvements or changes to procedures or Intake workflows to improve efficiency.

Ensure the team’s guidance manuals are regularly updated to reflect current policies and procedures.

Act as an ambassador for Legal, Risk & Compliance, fostering strong internal relationships.

Deliver training and contribute to team meetings.

Other responsibilities

Approve Payer Request forms.

Conduct Supplier checks and Dealing checks.

Compile statistics and reports and contribute to compliance monitoring reviews.

Maintain professional knowledge through horizon scanning, webinars, and internal training.

CANDIDATE PROFILE //

Candidates for this position must have:

At least 1-2 years’ experience within a professional services environment.

Confident and articulate verbal and written communication skills, the ability to deal effectively with people at all levels and present complex procedures clearly and succinctly.

Ability to make sound judgements and recommendations.

Excellent online research skills.

Proven experience using Microsoft Word and Excel; experience using Intapp Intake (Open), Intapp Conflicts and Intapp Terms would be beneficial.

Ability to absorb, analyse and consolidate large amounts of information.

A confident and proactive approach to managing workload and using own initiative.

Strong attention to detail in own and others’ work.

Experience working collaboratively in a team, contributing, offering support to colleagues, and sharing information and best practices.

Experience delivering training or be willing to deliver presentations and training.

An active interest in compliance and current affairs.

We welcome applications irrespective of race, colour, ethnic or national origin, disability, sex, gender identity, sexual orientation, age, religion, belief or marital status.