Compliance Officer

Harbottle & Lewis; Greater London; On-site; GBP 40,000 - 60,000; Full time

Job summary

Harbottle & Lewis is looking for an experienced Compliance Officer to ensure compliance with regulations and statutory requirements. The role involves developing AML policies, advising fee earners, and conducting client monitoring.

Applicants should have a strong background in onboarding clients from other London law firms and excellent knowledge of SRA regulations. This position also includes mentoring junior members in a supportive and vibrant law firm environment.

Qualifications

• Solid background and experience in onboarding clients from a London law firm.
• In-depth knowledge of SRA regulations and legal sector money laundering risks.
• Ability to mentor junior team members.

Responsibilities

• Develop and maintain AML policies and procedures.
• Advise fee earners on AML requirements.
• Conduct ongoing monitoring of clients.
• Review and update internal compliance policies.

Skills

Knowledge of AML policies

Excellent communication skills

Understanding of SRA regulations

Client onboarding experience

Job description

The firm

We are a dynamic, multifaceted law firm that provides a wide range of legal services to a creative and entrepreneurial client base. We partner with the big and the small, from cutting edge startups to global corporations, early-stage entrepreneurs to established industry leaders, and household names to private individuals and their family offices. We are renowned for our sector specialisms which we combine with expertise across all the traditional practice areas to provide our clients with tailored solutions that truly add value.

We offer a collegiate, vibrant and supportive environment, a clear path for career progression and a strong platform from which to learn and grow. We look for high performing, committed and innovative people who aren’t afraid to push themselves to be the best they can be. We take an active role in helping our people be at the top of their game. We believe our people make us stand out and we empower them to meet their ambitions. We invest time in developing their skills and knowledge and run several development and training programmes throughout the year, as well as encouraging and supporting personal involvement in other areas of expertise.

The role

We are seeking an experienced Compliance Officer to join the team and work closely with the Head of Risk and Compliance to help ensure that the firm complies with relevant regulations and statutory requirements, particularly in relation to new client and matter take-on procedures.

This is a varied and generalist role across all areas of risk and compliance including AML checks, and client and matter management. In addition to the compliance duties, you will also be acting as mentor to more junior members of the team.

Responsibilities

• Developing and maintaining AML policies and procedures and reviewing AML documentation
• Advising fee earners on the firm’s AML requirements
• Running and reviewing conflict checks
• Running sanctions checks and responding to sanction list alerts
• Advising staff on the firm’s compliance policies and best practice; implement and maintain compliance policies and procedures
• Regularly review and update internal policies and procedures
• Provide training related matters
• Conduct ongoing monitoring of clients and enhanced client due diligence checks for higher-risk clients

It is essential that you have a solid background and experience in onboarding clients from another London law firm as well as having in-depth knowledge of SRA regulations and legal sector money laundering risks. You must also have excellent communication skills as you will be liaising and partnering with fee earners to advise on risk management.