Compliance Manager AML, CDD

Remote working and then office based either in Midlands, Southampton, Manchester, Northampton or Belfast as locations.

Elite Audit Recruitment are working with a highly regarded and leading UK law firm on this brand new role: Client Inception Team Manager (Compliance) to join the risk and compliance team. The department has grown significantly in size and organically. It is an exciting time to join the firm in which they have a very high reputation in gaining awards such as investors in people, values and culture.

The role:

Lead the centralised Client & Matter Inception team in the Quality & Risk Directorate. This will include undertaking and overseeing anti-money laundering (AML)/client due diligence (CDD) checks on new and existing clients, conflict of interest checks, on-going client monitoring, sanctions checks and assisting with other risk management procedures. Take responsibility for ensuring all actions carried out by the Client & Matter Inception team are conducted in a timely and efficient manner in accordance with all internal policies and procedures and in compliance with regulatory and legal requirements.

• Accountable for the efficiency and operations of the client inception process
• Developing and managing the individuals within the team
• Liaising with the other members of the Quality & Risk Directorate
• Collaborating with the Partners/Legal Advisers/PAs within the Divisions to ensure accurate information about clients and matters is obtained
• Resolve more complex conflicts of interest in liaison with the Legal Advisers, escalating where necessary
• Reporting management information to the Director of Quality and Risk
• Daily monitoring of activity to ensure all regulatory and legal requirements are met and internal procedures are complied with
• Manage all escalations, ensuring the relevant issues are presented clearly and succinctly for internal compliance review
• Ensuring all team SLAs are met and committed to continually improve service standards

• Implementing process improvements to enhance the client experience, whilst enhancing operational efficiency.

Skills Required:

• Demonstrable knowledge/understanding of a regulatory/control environment
• Knowledge of client due diligence and conflicts of interest in the legal environment
• Track record of working within a regulatory/control environment, preferably in a supervisory capacity or with ownership of an AML/Conflict of Interest related project
• People management and leadership experience
• Strong stakeholder management skills and ability to influence and deliver excellent results in conjunction with the senior management of the Quality and Risk Directorate
• A good understanding of using and reporting management information would be advantageous.
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Please apply with your CV to Rachael Terry at Elite Audit Recruitment for more information on this opportunity.