Compliance Analyst - London/Manchester
Office of General Counsel
Head of Business Acceptance
Purpose of job:
To provide support to the Compliance Team (“CT”) to help ensure that the department provides a quality service in all respects.
What’s in it for you?
BCLP’s Risk & Compliance Department is responsible for advancing and empowering a risk aware culture based on ethics and integrity across BCLP Group. It works in partnership with all levels of BCLP 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.
- Conduct conflict checks on clients and matters.
- Identify wider higher risk and reputational issues including sanctions.
- Carry out ‘Quick Searches’.
- Assist with the establishment and maintenance of information barriers.
- Investigate company ownership where necessary.
- Relay conflict information in a way that is straightforward and jargon free to the business.
- Use Conflict checking as part of wider risk and compliance processes.
- Matter Opening
- client and matter risk assessments and open new matters as required.
- Ensure all client and matter set up procedures are followed correctly.
- Assist the Compliance Team with initial CDD in line with regulatory obligations and the firm’s policy where required.
- Conduct checks and analyse compliance and CDD information using various available public databases, including but not
- limited to, Orbis, Companies House, Accuity.
- Liaise with the business to obtain further required information.
- Assist with queries on the client matter inception system, “Open”, chase up outstanding file openings and provide support to the team and users.
- Assist with tasks delegated by other members of CT.
- Assist with the testing and development of our in house on-line CMI system and procedures.
- Assist in the development and delivery of training to the business.
- Primarily responsible for management of the CT inbox.
- Respond to queries from the business in a timely manner.
- Explain complex ideas and requirements simply to stakeholders.
- Provide support to the Risk and Compliance Department.
Compliance Team in London and Manchester as well as working in partnership with all levels of BCLP to give integrated advice and support.
Experience and Knowledge
Experience within a Compliance, KYC/CDD, AML or Legal Conflicts Management environment – desirable.
Degree not essential, although preferable.
Experience of working within a Law firm desirable.
Knowledge of Elite, the Code of Conduct and Anti-Money Laundering would be advantageous.
Skills and competencies
- A proactive individual who works well under pressure while acting as an integral part of a diverse and multi-skilled Compliance Team.
- Good organisational skills and ability to remain calm under pressure.
- Adaptable and able to manage multiple tasks within a high pressured environment, including working to deadlines.
- Able to communicate accurately and succinctly with senior stakeholders within the business.
- Analytically minded.
- Assertive, polite and articulate.
- Enthusiastic and approachable.
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 are securely stored and accessible only to those authorised to view such content.
As a regulated firm of solicitors, Bryan Cave Leighton Paisner LLP (“BCLP”) is required to undertake appropriate vetting of staff. In addition to completion, by applicants who accept a job offer, of a regulatory questionnaire, BCLP 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.
BCLP 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: https://jobs.blplaw.com/.