Compliance Officer

AJ FOX COMPLIANCE; Greater London; On-site; GBP 60,000 - 80,000; Full time

Job summary

AJ FOX COMPLIANCE, a boutique commercial law firm, seeks a Compliance Officer to own onboarding, oversee client due diligence and strengthen day-to-day regulatory compliance. You will implement efficient processes and provide practical guidance across the firm.

This role involves conducting audits, maintaining policies, delivering training, and escalating issues to uphold a robust culture of compliance.

Qualifications

• Experience in a solicitors' firm or regulated professional services.
• Strong knowledge of AML, CDD, and risk assessments.
• Ability to provide practical guidance and escalation when needed.
• Excellent organization and documentation discipline.

Responsibilities

• Own the client and matter opening process with required AML checks.
• Review or oversee client due diligence and risk assessments.
• Conduct sanctions and PEP screening and escalate high-risk matters.
• Develop onboarding procedures to avoid delays.
• Maintain compliance policies, registers and related documentation.
• Carry out regular audits and file reviews; report findings.
• Provide compliance training to partners and staff.
• Produce periodic management reports.
• Collaborate with management to improve systems and controls.

Skills

AML knowledge

CDD

Risk assessment

Regulatory compliance

Attention to detail

Training delivery

Policy development

Job description

We are working with an established commercial boutique law firm to appoint a Compliance Officer. This newly created role offers the opportunity to take ownership of client and matter onboarding, strengthen day-to-day regulatory compliance and shape efficient, consistent processes across the firm.

The firm is looking for an experienced compliance professional with a background in a solicitors’ firm or another regulated professional services environment. You’ll bring sound knowledge of anti-money laundering requirements, client due diligence and risk assessments, alongside strong organisation, attention to detail and the confidence to provide practical guidance and elevate concerns when needed.

The responsibilities will include:

• Owning the client and matter opening process, ensuring all required compliance checks are complete before work begins.
• Reviewing or overseeing client due diligence, know-your-client checks, risk assessments, enhanced due diligence, source of funds and, where appropriate, source of wealth reviews.
• Conducting or overseeing sanctions and politically exposed person screening, identifying potential issues and escalating higher-risk matters to the appropriate partner.
• Developing and maintaining efficient, consistent onboarding procedures, working with colleagues to meet requirements promptly without unnecessarily delaying work.
• Maintaining the firm’s compliance policies, procedures, registers and related documentation, and keeping management informed of relevant regulatory developments.
• Carrying out regular compliance audits and file reviews, reporting findings and following up to ensure remedial action is taken.
• Delivering compliance training and providing practical guidance to partners, fee earners and support staff.
• Overseeing file closures, maintaining appropriate records and management information, and producing periodic reports for management.
• Working with partners and management to improve systems, processes and controls, and promote a strong culture of compliance.