Senior Compliance Officer
Senior Compliance Officer
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Job Description
What we will offer
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We will offer you a place where you can be yourself and where there are no limits on what you can achieve. With us you can take ownership of your career and have honest conversations throughout. You would join an ambitious firm with a clear strategy for profitable growth where you can get early responsibility and early involvement in growing the business. Here you can expect a competitive and fair reward as well as recognition based on all round performance. This forms part of our internal promise to you The Deal between the firm and its employees.
You can expect:
- A competitive salary and a host of family friendly policies
- Life assurance private health and dental care for you and your family
- We support the causes you care about by giving you one day per year off to volunteer with any charity that you are involved with outside of work
- A wellbeing strategy that focuses on preventative measures to maintain overall health and tools and support for when our people experience physical or mental difficulties. The strategy focuses on four pillars: physical emotional financial and social aspects.
Team Structure
Main Responsibilities
The role of a Senior Compliance Officer has elements of day-to-day compliance work (BAU) as well as people management.
BAU
Primarily involves the day-to-day management of client onboarding and matter opening workflows with a focus on problem-solving and maintaining an efficient service to the practice this will involve:
- Acting as an initial point of escalation for queries from team members whether related to conflicts AML CDD Intapp billing / third party payors or otherwise.
- Managing workload by allocating work fairly and ensuring it is completed promptly and accurately. Where needed you will support colleagues in prioritising competing demands.
- Identifying and resolving any issues (technical or otherwise) which affect the general file opening and / or client onboarding workflow.
The role will also include handling a share of the teams day-to-day workload which generally involves:
- Analysing conflict search results and resolving any regulatory and/or commercial conflicts including via discussions with partners and fee earners.
- Advising fee-earners on information and documentation required to complete CDD.
- Implementing and maintaining information barriers.
- Conducting sanctions screenings and liaising with internal SMEs to resolve any sanctions issues that may arise with clients or matters.
People Management
As a Senior Compliance Officer you will also be actively involved in and mentoring and leading colleagues. Each of our Senior Compliance Officers is responsible for the day-to-day supervision of a small team of Compliance Officers which includes:
- Playing a leading role in ongoing training and mentoring especially of new joiners to the Business Acceptance team.
- Ensuring Compliance Officers apply a consistent approach to resolving conflicts AML and other issues related to Business Acceptance processes.
- Addressing day-to-day and ongoing resourcing issues.
The successful candidate will be expected to:
- Act as a senior point of contact to the business on complex queries relating to conflicts AML and other business acceptance issues.
- Assist with drafting and review of Business Acceptance policies.
- Deliver Business Acceptance training to fee earners support staff and internally within the Business Acceptance team.
- Assist with the project management of upgrades to Intapp Open including testing of any changes and maintaining an ongoing review of the system functionality.
- Assist with lateral hire searches.
- Provide Out of Hours assistance on time-sensitive matters from time to time in conjunction and consultation with the Head of Business Acceptance.
Attributes/Skills Required
- At least 4 years experience in a business acceptance role preferably in a law firm environment. Prior people management experience would be useful.
- Solid demonstrable understanding of AML and conflicts rules applicable in all jurisdictions in which the firm operates.
- Pragmatic commercial and lateral thinking and creative problem-solving skills.
- A team-first can-do attitude and a commitment to doing what it takes to achieve results in a timely efficient manner.
- Strong research skills and familiarity with widely used vendors such as Orbis Accuity and equivalents.
- Excellent written and verbal communication skills and the gravitas to support taking the lead in discussions with partners fee earners and support staff.
- Proven ability to work both independently and as part of a global team.
- Experience of using Intapp Open and Walls.
- Ability to work under time pressure and prioritise effectively to meet multiple deadlines.
- A desire to build on existing knowledge and proactively contribute to changes in team processes and procedures.
This job description is indicative only and does not represent an exhaustive list of responsibilities. The firm reserves the right to alter or change the responsibilities at any time in line with the firms strategy and business needs.
About the Firm
Stephenson Harwood is an international law firm and were committed to creating positive partnerships with our clients. We represent listed and private companies institutions and individuals building lasting relationships to help them succeed in a complex andever-changing world.
Our focus is on five core sectors: Energy Transition Life Sciences and Healthcare Private Capital and Funds Technology and Transportation and Trade.
With more than 1400 people including 210 partners across eight offices in Europe the Middle East and Asia we combine deep legal capabilities and broad commercial expertise. We have also forged close ties with high quality law firms around the world blending local knowledge with global savvy for clients in over 100 countries.
We understand the power of diversity in delivering that high calibre advice to our clients. We want to attract diverse talent and we particularly encourage applications from underrepresented demographics.
Our brand strengths:
- GO FAR GO TOGETHER
- EXPERTS IN MORE THAN LAW
- CAN DO PERSONALITIES
- ALWAYS READY
Required Experience:
Senior IC
Employment Type
Unclear
