Senior Compliance Officer

London (Central), London (Greater)
26 Feb 2018
28 Mar 2018
Role Classification
Other Professional
Contract Type

The Team 

The Norton Rose Fulbright LLP Compliance Team is run by two Partners who are based in London and who are at present assisted by a team in three locations: London, the Middle East and Hong Kong. The Team comprises five other lawyers and ten Compliance Officer staff, some of whom have law degrees and all of whom have training in anti-money laundering and compliance/risk management.

The practice is required to comply with a range of laws and regulatory rules as will the 26 offices within the firm. Failure to comply could be a breach of professional standards rules or a criminal, or in some cases civil, offence. The Compliance Team is responsible for overseeing compliance with those rules in order to avoid penalties and damage to our reputation that would result from a breach. 

The Role 

We are dividing the firm’s business acceptance work into primary areas: clients and conflicts management. The new team member will be primarily focused on conflicts management and related tasks, including undertaking conflict searches, analysing reports, escalating potential issues for resolution and advising lawyers and staff on the firm’s policies and procedures.

Other tasks which the Officers undertake include:

  • Explaining to lawyers and PAs information required to comply with the various regulatory requirements
  • Guiding and training Lawyers and PAs on the use of the Compliance systems
  • Managing security information barriers and maintaining databases of confidential information
  • Setting up and checking new clients and matters; maintaining records
  • Reviewing files to check engagement terms are in place and managing the alert/reporting system
  • Providing support to other LLP offices on compliance related matters
  • Monitoring regulatory requirements of the legal profession in the UK, Europe, the US and Asia
  • Carrying out research on companies and new clients
  • Ensure that the regulations (such as AML Client Due Diligence) are adhered to within the firm
  • Carrying out risk assessments and sanctions checks on all parties to all new matters

Skills and Experience Required 

  • Have an interest in Compliance
  • Computer skills, especially with Microsoft Word, and Excel
  • Excellent aptitude for research and familiarity with online research tools
  • Excellent organisational skills
  • Excellent written and oral communication skills
  • Accuracy and an eye for detail
  • Flexibility and Team Player 

Closing Date 12.11.2017

Salary up to £50,000  

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