Compliance Officer

Sintons; Newcastle upon Tyne; On-site; GBP 35,000 - 48,000; Full time

Benefits offered by this job

Bonus scheme

Benefits package

Job summary

Sintons, a full-service law firm in Newcastle upon Tyne, seeks a Compliance Officer to lead client due diligence and AML processes. You will ensure identification procedures align with guidance and bolster onboarding efficiencies while maintaining high standards of confidentiality and service.

You will work closely with the Head of Risk and Compliance and partners, supporting ongoing monitoring and data input within the practice management system.

Qualifications

• Experience working in a regulated environment, preferably in the legal sector.
• Clear communication skills and ability to work confidently with a case management system.
• Strong research and analytical skills with drive to meet deadlines.

Responsibilities

• Execute end-to-end due diligence for clients following AML and ID guidance.
• Obtain all identification in line with strict guidance to ensure compliance with procedures.
• Enhance client service, efficiencies and onboarding for life.
• Pro-actively monitor onboarding progress and update stakeholders.
• Liaise with Head of Risk and Compliance on client ID issues.

Skills

Regulated environment experience

Communication skills

Case management system

Research skills

Analytical skills

Deadline driven

Tools

Case management software

Job description

We are a full-service law firm based in Newcastle upon Tyne serving clients throughout the UK and further afield. We have an outstanding reputation for delivering high quality partner-led advice with exceptional personal service.

Our team of over 230 colleagues includes 40 partners, 121 fee-earners and 70 people in business services roles. Our client base includes large companies, owner managed businesses, healthcare professionals, leisure operators and rural businesses

With a history stretching back over 125 years, we recognise the importance the contribution that businesses like ours should and can have on the local community and we, therefore, encourage our partners and employees to get involved and give back to the local community in which we live and work.

Our vision is to set the standard for legal excellence and in doing so, to become the law firm of choice for businesses, organisations and individuals. To meet our vision and deliver an outstanding service we employ individuals who understand our clients’ needs, take pride in what they do and how they do it. Our values go to the heart of the firm. They define who we are and how we work. It is by remaining true to our values that we will achieve our vision. This is what we value most:

• Teamwork – we trust and respect one another. We see strength in our diversity as individuals and as a practice. We achieve the best outcomes for clients when we work collaboratively, recognizing and respecting the different perspectives that we bring.
• Excellent Client Service – We take the time to truly understand our clients’ needs and aim to provide practical, tailored and commercial solutions – not just options – to help them achieve their goals. Through hard work and commitment, we aim to develop long-term relationships with all our clients, taking pride in the value that we add.
• Professionalism – We work to the highest professional and technical standards, acting with the utmost integrity at all times. We are fiercely proud of our reputation as being a trusted adviser to our clients, often over several generations, and continually strive to ensure that our clients’ interests come first and foremost.
• Our People – We work together to create an open, supportive and friendly working environment where our people feel valued, can develop their careers and achieve their professional ambitions.

If this sounds like a vision you would like to be a part of, our values resonate with your own personal values, and you meet the requirements of the role described, we’d be delighted to hear from you. Please read on!

The Role

We have a vacancy for a Compliance Officer

• Execute the end-to-end due diligence for our clients, following AML and ID guidance, policies and procedures.
• Obtaining all identification required in line with strict guidance to ensure that both internal and external procedures and requirements are met and adhered to.
• Assuming key role within the Firm to enhance client service, efficiencies and ensuring the acquisition of clients for life.
• Pro-actively monitor Onboarding progress.
• Liaising with the Head of Risk and Compliance on any issues relating to client ID, escalating matters where required.
• Liaising with partners, solicitors and support teams to provide progress updates as required.
• Providing compliance approval (once client due diligence has been completed) to all entities & matters appropriately within the practise management system promptly.
• Maintaining and working through the emails in the Compliance mailbox.
• Ensuring internal procedures are applied and followed.
• Ensuring accurate inputting of all data into the relevant practice management system.
• Ensure strict confidentially is maintained at all times.
• Manage on-going monitoring alerts for clients and report any concerns to the Head of Risk and Compliance.
• Comply with and uphold the firm’s policies and procedures, such as health and safety, IT, security, email and anti-virus policies and equality and fair treatment.
• Be flexible to carry out any other reasonable task and/or projects as requested within the office environment and in agreement with the Head of Risk and Compliance.

Requirements

The ideal candidate with have experience of working in a regulated environment, preferably in the legal sector. Clear communication skills and the ability to work confidently with a case management system is vital. Must have strong research and analytical skills, will the drive to work towards & meet deadlines.

A competitive salary is available, along with a firm bonus scheme. You can see an overview of the benefits by using the link: Sintons Employment Benefits Package . Opportunities are also available for career progression.

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