- Conduct regular reviews of client files and transactions to ensure compliance with AML regulations;
- Monitor and analyse client transactions for suspicious activities, reporting any findings to the Compliance Director immediately;
- Assist in implementing and maintaining AML policies, procedures, and controls within the firm.
- Verify the identity of clients and beneficial owners through various sources, including public records and databases;
- Ensure all necessary documentation is collected and maintained in accordance with regulatory requirements.
- Stay informed about changes and updates in AML and other regulatory requirements affecting the legal industry;
- Conduct research on regulatory issues and provide summaries or reports as needed.
- Prepare and submit regulatory reports to relevant authorities within specified deadlines;
- Ensure confidentiality and security of sensitive AML-related information and documentation.
- Assist the Compliance Director in developing AML training programs for staff members to increase awareness and understanding of regulatory requirements;
- Provide ongoing support and guidance to colleagues regarding AML compliance matters and best practices;
- Keep abreast of emerging trends and developments in compliance.
- Communicate effectively with different departments within the firm to facilitate coordination and compliance efforts;
- Participate in internal meetings and discussions to provide input on AML compliance strategies and initiatives;
- Foster a culture of compliance awareness and ethical behaviour with stakeholders.
- Contribute to the firm's risk assessment process by identifying and evaluating relevant risks;
- Assist in developing risk mitigation strategies and controls to minimize exposure to financial crime and regulatory violations.
- Previous experience of working in a regulated firm (preferably a law firm);
- Proficiency in using relevant software and databases;
- Proficiency in MS Software.
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Compliance Monitoring Administrator - Surrey Quays, Greater London, United Kingdom - Setfords
Description
PermanentFull Time
£31,000 - £35,000 per annum depending on experience
We believe traditional law firms are outdated. Which, in turn, means client satisfaction and customer care suffer.
We are building a team that uses rich datasets, cutting-edge tech and industry-leading marketing smarts to deliver our vision: to be a law firm for everyone.
The Regulatory/Risk and Compliance Assistantwill play an important role in ensuring compliance with AML regulations and other regulatory requirements within Setfords.
Compliance Monitoring:
Regulatory Research and Analysis:
Training and Awareness:
Risk Assessment:
Life assurance
Pension via NEST
Cycle to work scheme
Free breakfast, lunch, snacks and drinks from our onsite Bistro
Employee Assistance Programme
22 days annual leave, increasing after 2 days service 1 day per year to a total of 27 days
Lots of free company events
Diversity and Inclusion
Diversity, equity and inclusion are incredibly important to us at Setfords.
We encourage applications from all backgrounds, communities and industries and we are happy to discuss any reasonable adjustments that you may require for a successful application process.
We share in each other's successes, and help each other out when things don't go to plan - and we do so with a total absence of ego, blame, or internal competition.
Here to helpWe help our clients and our consultants succeed because we are always happy to go the extra mile.
Our first thought is always "I'm here to help", not "is it my job to?", We use cutting-edge tools, data analytics and subject-matter expertise to inform all of our judgements, and bring an entrepreneur's mindset to work every day, always looking for ways to improve our offering.
Whether you are a lawyer who has been qualified for decades or a new hire embarking on the first steps of your career, we believe in giving everyone within our business the opportunity to reach their full potential.
For our consultants, we provide the platform, coaching and support that allows our lawyers to provide legal services the way they want.
