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Compliance Advisor (0933)


Berwin Leighton Paisner
Location: London
Job type: Permanent
Category: Legal Executive Jobs
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Department: Risk and Compliance
Team and Business Unit: Compliance Team
Reports to: Compliance Manager

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?

Bryan Cave Leighton Paisner’s Risk & Compliance Department is responsible for advancing and empowering a risk aware culture based on ethics and integrity across the Firm.

It works in partnership with all levels of Bryan Cave Leighton Paisner 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.

Key tasks:

Conflicts
• Conduct conflict checks on clients and matters
• Identify wider client terms, higher risk and reputational issues including sanctions
• Establish and maintain information barriers
• Investigate company ownership
• 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
• Carry out ‘Quick Searches’

Client and Matter Opening
• Conduct Client Due Diligence on new clients in line with the Money Laundering Regulations 2007 and the relevant sanction rules
• Conduct client and matter risk assessments and open new matters as required
• Ensure all client and matter set up procedures are followed correctly
• 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
• Prepare PEP/High risk client reports for the MLRO and the Compliance Manager
• Conduct credit checks on clients where and when necessary
• Assist with queries on the client matter inception system, “Open”, chase up outstanding file openings and provide support to the team and users

General
• Assist with tasks delegated by the Senior Compliance Team
• Assist with the testing and development of our in house on-line CMI system and procedures and external providers
• Assist in the development and delivery of training to the business
• Respond to queries from the business in a timely manner
• Explain complex ideas and requirements simply to stakeholders
• Be a point of reference and support to Compliance Analysts
• Provide personal assistant support to the Deputy MLRO
• Provide support to the Risk and Compliance Department

Experience and Knowledge

• Experience of applying CDD/AML requirements across a range of structures and jurisdictions
• Practical application of Solicitors Code of Conduct Chapters 3 and 4 in relation to analysing and clearing conflicts
• Knowledge of the Law Society AML Practice Note
• Solid postgraduate experience of working within an international law/professional services firm desirable
• Legal degree not essential, although preferable

Attitude and Skills

• 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 and robust 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

Confidentiality

• 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
Department: Risk and Compliance
Team and Business Unit: Compliance Team
Reports to: Compliance Manager

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?

Bryan Cave Leighton Paisner’s Risk & Compliance Department is responsible for advancing and empowering a risk aware culture based on ethics and integrity across the Firm.

It works in partnership with all levels of Bryan Cave Leighton Paisner 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.

Key tasks:

Conflicts
• Conduct conflict checks on clients and matters
• Identify wider client terms, higher risk and reputational issues including sanctions
• Establish and maintain information barriers
• Investigate company ownership
• 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
• Carry out ‘Quick Searches’

Client and Matter Opening
• Conduct Client Due Diligence on new clients in line with the Money Laundering Regulations 2007 and the relevant sanction rules
• Conduct client and matter risk assessments and open new matters as required
• Ensure all client and matter set up procedures are followed correctly
• 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
• Prepare PEP/High risk client reports for the MLRO and the Compliance Manager
• Conduct credit checks on clients where and when necessary
• Assist with queries on the client matter inception system, “Open”, chase up outstanding file openings and provide support to the team and users

General
• Assist with tasks delegated by the Senior Compliance Team
• Assist with the testing and development of our in house on-line CMI system and procedures and external providers
• Assist in the development and delivery of training to the business
• Respond to queries from the business in a timely manner
• Explain complex ideas and requirements simply to stakeholders
• Be a point of reference and support to Compliance Analysts
• Provide personal assistant support to the Deputy MLRO
• Provide support to the Risk and Compliance Department

Experience and Knowledge

• Experience of applying CDD/AML requirements across a range of structures and jurisdictions
• Practical application of Solicitors Code of Conduct Chapters 3 and 4 in relation to analysing and clearing conflicts
• Knowledge of the Law Society AML Practice Note
• Solid postgraduate experience of working within an international law/professional services firm desirable
• Legal degree not essential, although preferable

Attitude and Skills

• 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 and robust 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

Confidentiality

• 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
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