Senior Compliance Advisor

London (Central), London (Greater)
26 Feb 2018
27 Apr 2018
Role Classification
Other Professional
Contract Type

Purpose of job

To provide support to the Risk & Compliance Management (“RC Man”) and supervision to the Compliance Team (“CT”) to help ensure that the department provides a quality service in all respects.

What’s in it for you? 

BLP’s Risk & Compliance Department is responsible for advancing and empowering a risk aware culture based on ethics and integrity across BLP Group.

It works in partnership with all levels of BLP to give integrated legal, risk and regulatory advice and support. The role will be as part of a busy Compliance Team which manages the on-boarding of new clients and matters.

Key responsibilities 

• Act as contact point for conflict queries from the team and the business
• Conduct conflict checking and analysis on the firm’s clients and matters. 
• Co-ordinate with partners to identify/prevent/resolve potential legal and/or commercial conflicts. 
• Relay conflict information in a straightforward and jargon-free manner to the firm
• Management, establishment and maintenance of information barriers

Client and Matter Opening
• Conduct initial and on-going client due diligence (“CDD”) in line with the money laundering regulations and the firm’s policies. Liaise with the business and direct with clients to obtain CDD materials
• Act as an AML/CDD/Conflicts/Sanctions subject matter referral point for both the CT and the wider business
• Conduct client and matter risk assessments in line with the Money Laundering Regulations 2007 and any applicable sanctions 
• Prepare PEP/High risk client reports for the Risk & Compliance Management to review
• Obtain and analyse compliance and CDD information using public databases and third party information providers, including but not limited to Bureau Van Dijk Orbis, company registries, Accuity
• Understand and identify wider risk and reputational and conflict issues at client and matter take on stage
• Deal with queries on the client matter inception (“CMI”) system, IntApp Open providing support to both CT and the business

Leadership & Supervision
• Assist the Compliance Manager with ongoing, continuous training of CT
• Represent CT in meetings with internal clients (e.g. with partners, other business support teams)
• Represent CT in meetings with internal clients (e.g. with partners, other business support teams)
• Provide team leadership and ‘day-to-day’ supervision and guidance for CT
• Assist in the ‘day-to-day’ running of CT
• Manage and monitor workloads and delegate tasks suitably within CT
• Role model for the team

• Manage the implementation of further processes on the CMI system as well as ongoing enhancements and testing of upgrades
• Conduct training sessions on the BLP CMI system, firm policy and procedure
• Drive the on-going development, implementation and refinement of business enabling, risk-based compliance policy and procedures
• Be responsible for and participate in a wide range of ad hoc projects including management of technology and process development and implementation
• Assist in the monitoring of client and matter set up procedures to ensure they are followed correctly
• Act as point of contact for external data providers. 
• Analyse data provider services to ensure the department is cost effective and efficient
• Any other related tasks within the Risk and Compliance Department

Key Relationships

• Compliance Manager
• Compliance Team
• Risk and Compliance Management Team
• Risk Team
• Partners, Fee earners and secretaries
• Finance & Accounts (Alternate client billed and funds received queries)
• IT (System development and testing)

Experience and Knowledge 

• Practical experience of implementing and managing the CDD requirements of the Money Laundering Regulations 2007 in an international environment across a range of corporate structures and jurisdictions
• Extensive experience of working within the risk and compliance field, preferably within a legal environment
• In depth knowledge of the Law Society of England & Wales AML Practice Note
• Practical experience of conflict checking, relating to end-to-end legal, commercial and contractual conflict clearance, with particular reference to Rules 3 and 4the Solicitors Regulatory Authority Code of Conduct
• Legal degree not essential, although preferable
• Supervisory experience not essential, although preferable

Skills and Competencies

• Excellent communication skills; assertive, polite and persuasive in approach
• Be comfortable and confident engaging with and explaining complex concepts to all levels of personnel, including senior internal clients
• A proactive individual who uses their own initiative and works well under pressure while acting as an integral part of a diverse and multi-skilled Compliance Team
• Ability to lead, motivate and develop team members
• Analytically minded
• Flexible approach to working
• Good working knowledge of Elite, Excel, Word and Outlook.

Diversity,  Inclusion and Working Differently 

Diversity and inclusion is at the heart of our firm. At BLP we aim to create an inclusive and inspirational culture where all our employees are valued, motivated and able to be themselves. BLP is a firm with an increasingly flexible workforce and is supportive of flexible working arrangements, tailored to the individual, wherever possible. 

Please feel free to speak to the Resourcing Team about the flexibility we are offering for this role.


To ensure all hardcopy materials containing confidential information are securely stored and accessible only to those authorised to view such content.

To ensure all confidential information stored electronically is securely stored and accessible only to those authorised to view such content.


As a regulated firm of solicitors, Berwin Leighton Paisner LLP (“BLP”) is required to undertake appropriate vetting of staff. In addition to completion, by applicants who accept a job offer, of a regulatory questionnaire, BLP uses a specialist provider to undertake professional verification and background checks (including through electronic data sources, and directly with employers and professional bodies/regulators) on our behalf. We will also undertake certain verifications ourselves.

BLP adopts a risk-based approach to its vetting procedures, which are only undertaken with consent, and in accordance with it legal and regulatory obligations. For further details, please see our recruitment website:

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