Risk & Compliance Officer
New Today
THE FIRM
A global law firm.
THE ROLE
In the Risk & Compliance Department the role involves providing practice support to the firm's offices on all aspects of risk, regulatory compliance and conflicts in London.
Key Responsibilities
The role will include but will not be limited to:
Matter Inception: assisting in on-boarding new clients and matters and ensuring that all details are correct in accordance with regulatory standards and firm policy.
Anti-Money Laundering: conducting client due diligence, reviewing KYC documentation and undertaking AML and sanctions searches on clients as appropriate and escalating any issues to the MLRO.
Terms of Engagement: assisting the firm in maintaining a uniform application of engagement terms as well as reviewing, advising on and recording client imposed terms.
On-going monitoring and risk assessment: reviewing any changes to the client which may have an impact on client or matter risk and dealing with these in accordance with regulatory requirements.
Matter Maintenance: ensuring that matter information is kept accurate and up-to-date.
Compliance reporting, assisting in the production of spreadsheets to monitor client and matter inception process status. Help run weekly / monthly reports.
Confidentiality: assisting in setting up and amending information barriers and insider lists...
- Location:
- London
- Category:
- Admin, Office, Secretarial & PA