Compliance Officer

RGS Global Ltd; Guildford; Hybrid; GBP 28,000 - 36,000; Full time

Job summary

RGS Global Ltd is recruiting for a Compliance Officer/Junior Analyst, a role within the Risk & Compliance Team in a UK law firm. The position involves conducting conflict searches, client identification, and AML due diligence with experience in conflict database software.

The role supports new business intake, assesses risk, and helps develop compliant practice standards. Hybrid working is on offer, with some flexible home working.

Responsibilities

• Carrying out conflict searches and analysing results.
• Performing client identification checks and risk assessments.
• Conducting AML due diligence checks and research.
• Liaising with fee earners to address potential conflicts and open files.
• Assisting with client acceptance processes and updating intake software.
• Staying up to date with regulatory developments and monitoring compliance risks.

Job description

Our client is recognised as one of the UK’s leading law firms and, due to growth, they are currently seeking a Compliance Office/Junior Analyst. Hybrid working is on offer.

This role sits within the firm’s Risk & Compliance Team and will involve being part of a team of new business intake analysts. The main purpose of the role will be carrying out conflict searches using conflict database software and conducting in depth analysis of the results of the searches.

Responsibilities

• Carrying out conflict searches using conflict database software and conducting in depth analysis of the results of the searches.
• Performing client identification checks and preparing client and matter risk assessments.
• Risk assessing new and existing clients and matters, conducting AML due diligence checks and research, and producing reports.
• Carrying out conflicts of interest checks for the firm within the conflict database software, analysing conflict search results, identifying the existence of potential conflicts and liaising with partners and fee earners to address or clear potential conflicts and open files.
• Liaising with lawyers to obtain further information to assist with conflicts and AML analysis and to escalating any issues to the Head of Risk & Compliance or senior colleagues.
• Answering conflict/AML queries from the firm or escalating them to the Head of Risk & Compliance or senior colleagues.
• Assisting stakeholders across the firm with client acceptance processes.
• Contributing to updates to new business intake software.
• Helping to develop best practice standards, policies and procedures in relation to client acceptance, risk and compliance.
• Keeping up to date with relevant regulatory and compliance developments and assisting with monitoring compliance risks.

You will have knowledge and/or experience of using business intake systems such as Intapp Open, Orbis, Smartsearch as well as an understanding of the SRA conflicts rules and anti-money laundering legislation. Proficiency in the use of internet as a research tool and ability to learn use of software research tools swiftly is also key to this role. There is some flexibility to work from home.

Whilst we would love to be able to respond to every application we receive, it is not always possible. If you have not heard from us within 7 working days, please assume that your application has not been successful on this occasion.