Our client a law firm based in Birmingham are recruiting for a compliance officer to join their team.
Working closely with the Head of Compliance and the wider Compliance team, the Compliance Advisor will help ensure the firm complies with SRA Standards and Regulations, AML legislation, UK GDPR and other regulatory requirements. The role will provide practical compliance support and advice across the business while promoting a strong culture of risk management and regulatory compliance.
Key Responsibilities
- Provide advice on SRA Standards and Regulations, AML/CTF requirements, conflicts of interest and UK GDPR.
- Review client due diligence, including AML documentation, corporate structures, Source of Wealth/Source of Funds, PEP and sanctions screening.
- Support client onboarding and ongoing due diligence monitoring.
- Review, update and maintain compliance policies and procedures.
- Conduct compliance file audits and assist with internal and external AML audits.
- Coordinate conflicts checks and advise on potential conflicts.
- Deliver compliance training and inductions for new joiners.
- Support Lexcel accreditation and Independent File Reviews.
- Produce compliance reports and management information.
- Supervise the Compliance Coordinator where appropriate.
- Undertake other compliance duties as required by the Head of Compliance.
Essential
- Minimum three years' compliance experience within a law firm.
- Strong knowledge of SRA Standards and Regulations, AML legislation, conflicts and UK GDPR.
- Experience providing compliance advice and making regulatory decisions.
- Experience conducting file audits and delivering compliance training.
- Excellent communication, organisational and analytical skills.
- High attention to detail with the ability to manage competing priorities.
- Proficient in Microsoft Office applications.
- Desirable
- Experience working in a Lexcel accredited firm.
- ICA AML qualification or equivalent.
- Experience using technology or automation to improve compliance processes.