Compliance Officer – Analyst

Stevens-; Guildford; On-site; GBP 40,000 - 60,000; Full time

Benefits offered by this job

Pensions Scheme (5% employer)

Private medical insurance

Permanent health insurance

Life assurance

Travel allowance (£750/yr)

Travel loan option for season ticket

Enhanced maternity/paternity pay

Cycle to work scheme

Give as you earn

Discounted gym memberships

Profit share and discretionary bonus

Job summary

Stevens & Bolton seeks a Compliance Officer – Analyst to join the Risk & Compliance Team. You will conduct AML due diligence, conflicts checks using NBI Intapp Open, and prepare risk assessments for new business intake, working with partners and fee earners.

You will help develop NBI policies, deliver training, and support junior members while keeping up to date with regulatory developments and firm standards.

Qualifications

• Educated to degree level or equivalent with at least 2 years in risk and compliance.
• Non-graduates with at least 2 years relevant risk and compliance experience will be considered.
• Knowledge/experience of using matter intake systems like NBI Intapp Open, Orbis and SmartSearch.
• Understanding of SRA conflicts rules and AML legislation.
• Proficiency in internet research and ability to learn new software quickly (including AI).
• Strong service orientation, high attention to detail and proactive teamwork.

Responsibilities

• Conduct AML due diligence and risk assessments for new and existing clients/macts.
• Perform conflicts checks using NBI Intapp Open and interpret results for partners and fee earners.
• Assist with updating and implementing new business intake policies and processes.
• Provide training on NBI policies, processes and firm standards.
• Support and develop junior team members and assist with client acceptance tasks.
• Engage with stakeholders across the firm to address conflicts and AML issues.
• Contribute to updates of new business intake software and firm best practices.

Skills

Conflict searches

AML due diligence

Risk assessment

Policy development

Training delivery

Junior staff mentoring

Stakeholder engagement

Independent work

Time management

Education

Degree or equivalent

2 years risk & compliance experience

Non-graduate candidates with 2+ years experience

Tools

NBI Intapp Open

Orbis

SmartSearch

Job description

This role as a Compliance Officer - Analyst sits within the firm’s Risk & Compliance Team being part of a team of new business intake analysts reporting to the Compliance Manager NBI, and will involve:

• carrying out conflict searches using NBI Intapp Open software and conducting in-depth analysis of the results;
• performing client identification checks using various identification software programs and preparing client and matter risk assessments; and
• helping to develop the firm’s new business intake policies and processes.

Key responsibilities

• Risk assessing new and existing clients and matters, conducting AML due diligence checks and research, and producing risk reports. Assisting with monitoring client risk.
• Carrying out conflicts of interest checks within the conflict database software NBI Intapp Open, 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 partners and fee earners to obtain further information to assist with conflicts and AML analysis and to elevate any issues to the Compliance Manager NBI or senior colleagues.
• Answering conflict/AML queries from the firm or escalating them to the Compliance Manager NBI or senior colleagues.
• Assisting with delivering training on NBI policies and processes.
• Supporting and developing junior members of the team.
• Assisting stakeholders across the firm with client acceptance processes.
• Contributing to updates and reviews of new business intake software.
• Helping to develop and update firm risk and compliance best practice standards, policies and procedures in relation to client acceptance.
• Keeping up to date with relevant regulatory and compliance developments.

Qualifications and Experience

• Educated to degree level with minimum 2 years previous experience working in a similar role in risk and compliance.
• Non-graduates with minimum 2 years previous relevant risk and compliance experience will be considered.
• Knowledge and/or experience of using business intake systems such as NBI Intapp Open, Orbis and SmartSearch.
• Understanding of the SRA conflicts rules and anti-money laundering legislation.
• Proficiency in internet research and ability to learn use of software research tools swiftly, including AI.
• Enthusiasm and a desire to provide high levels of service.
• Very high standards and attention to detail.
• Strong team working skills and a proactive approach.
• Ability to exercise initiative and work independently.
• Excellent time management and ability to prioritise work.
• Confidence and ability to engage with senior stakeholders and engage in team meetings.
• Ability to manage and develop more junior members of the team.

The Opportunity

• Pensions Scheme (5% employer contribution)
• Private medical insurance
• Permanent health insurance
• Life assurance
• Receive either the sum of £750 per annum as a travel allowance or reimbursement of carparking expenses via a pay as you go card at a local carpark (likely to be Farnham Road carpark)
• Travel – option to apply for an interest free loan for a season ticket or parking permit
• Enhanced maternity/paternity pay (after sufficient service)
• Critical illness insurance
• Cycle to work schemes
• Give as you earn
• Discounted gym memberships and shopping
• Profit share and discretionary bonus schemes

The Firm

Stevens & Bolton – making a positive difference to your career

You’ll work with people who listen, and who actively and willingly support one another within a collaborative and engaging environment. We genuinely care about our people and strive to build and maintain a diverse, inclusive and happy workforce.

We are recognised as a top firm in The Times Best Law Firms 2025, shortlisted for “Law Firm of the Year: The Independents” at The Lawyer Awards 2025 and shortlisted for “Regional/Offshore Team of the Year” at the Legal Business Awards 2025. The Firm was recently named “Law firm of the year” at the 2025 Legal Cheek Awards, was shortlisted for “ESG Initiative of the Year” at the Women, Influence & Power in Law UK 2024 Awards and shortlisted for “UK Law Firm of the Year - Small/Mid-Sized Firm” at the British Legal Awards 2023. Our refurbished office has been awarded a RICS SKA silver certificate and a 2-star Fitwel accreditation.

We’ve made excellence the hallmark of our firm: in the clear advice we give, in the enduring client relationships we build and in our proactive and highly responsive service. We seek to recruit people who will help us maintain and build on this, and in return we offer excellent long-term career and development opportunities.

Diversity & Inclusion

We have a strong commitment to diversity and inclusion (D&I). This drives a strategy which focuses on constant promotion of an inclusive culture that encourages everyone to realise their full potential and be themselves at work. In 2020 we were shortlisted for “Best D&I Initiative” at The HR Awards and for “Best Talent and Inclusion Initiative” at The Lawyer Awards.