Compliance Assistants / Analysts
We are recruiting for a Compliance assistants/analysts to join our Conflicts team in Bristol
Can I Act are a shared service team within 'TLT ReSource' who undertake volume compliance tasks on behalf of the firm. The team deal with all tasks associated with taking on new clients and matters, such as conflict checking, client due diligence, and source of funds checks.
The team consists of 9 compliance professionals and is managed on a day to day basis by the Team Leader. The Risk Manager in Risk & Compliance is the strategic head of CIA and responsible for the teams operations.
As a Compliance assistant / analyst your day to day remit includes:
- Follow business acceptance procedures for all new clients and work of the firm.
- To conduct and begin analysing basic potential conflicts of interest by using conflicts database searches.
- To be alert to potential commercial conflicts and ensure these are handled appropriately.
- Perform sanctions checks and assist in the maintenance of the conflicts database.
- To escalate potential conflicts of interest to Team Manager (TM) and Risk.
- Speak to fee earners to gather relevant information in order to make informed decisions about potential basic conflicts.
- Ensure that conflict requests are claimed and followed through to conclusion.
- To analyse a range of potential conflicts of interest coving the firm’s main practice areas and most common work types.
- To liaise with fee earners and others within the firm to mitigate any risks that are identified in conflict search results.
- To gain a good understanding of the SRA Code of Conduct rules relating to conflicts of interest and the duties of confidentiality and disclosure.
- To have an awareness of anti-money laundering regulations affecting law firms in relation to client due diligence (CDD).
- To review and analyse CDD documents to ensure compliance with anti-money laundering regulations, identifying what is missing, and referring where necessary to TM or Risk.
- To review company information databases, research organisations, and conduct electronic verification searches on clients and third parties using bespoke software.
The Ideal Candidate
Our employees are talented people, distinguished by technical excellence, with a willingness to embrace team working and a passion for client service. You will be able to demonstrate a similar supportive, flexible and driven ethos and will have accumulated the following experience and skills:
- Good research and analytical skills.
- Strong organisational skills and the ability to prioritise workload.
- Excellent communication skills and the ability to deal with people of all levels.
- Ability to work well under pressure and to deadlines in a fast paced environment.
- Accurate data inputting, attention to detail and accuracy
- Good IT skills.
- Legal qualification desired but not essential.
In addition for compliance analysts
- The role would suit someone with previous experience of working in compliance for a law firm in the areas of conflict checking and CDD/KYC.
- A minimum of one year’s experience of conflict checking is required for the compliance analyst role.
- There is also a clear career path in order to progress from compliance assistant to analyst
TLT is committed to creating a diverse working environment and encourages applications from all suitably qualified people, regardless of any of the characteristics protected by the laws in the locations in which we operate. We welcome applications from people with disabilities and as a Disability Confident Employer, we are committed to providing reasonable adjustments, where necessary, to make interviews and jobs more accessible. Should you have any difficulty during the recruitment process, require any reasonable adjustments or an application to Access to work please contact the recruitment team on HR-Recruitment@TLTsolicitors.com .
We value our employees highly and we want you to feel valued. You will receive a competitive basic salary with an annual pay review. You will also have access to an extensive range of benefits via our flexible benefits scheme including 25 days holiday (which will increase to 30 days based upon length of service) and private medical insurance.