Quality Checker (CDD/AML/KYC) (5622)

Irwin Mitchell LLP; Birmingham, Sheffield, Manchester; Hybrid; GBP 40,000 - 60,000; Full time

Job summary

A leading national law firm in Birmingham is seeking a Quality Checker for their Client Onboarding Team. This hybrid role requires expertise in client due diligence and conflicts, with responsibilities including quality assurance checking and training delivery. The firm offers a supportive environment and numerous benefits, including flexible working arrangements and a robust pension scheme.

Benefits

25 days holidays plus bank holidays

Flexible pension schemes

Volunteering days

Health membership access

Qualifications

• In-depth technical knowledge in client due diligence and conflicts.
• Understanding of the regulatory environment for domestic and international clients.
• Ability to work autonomously and make decisions.

Responsibilities

• Lead quality checking of CDD/AML and Conflicts files.
• Collaborate with Head of Client Onboarding on training needs.
• Design and deliver training for CDD, AML, and Conflict checking.

Skills

Client due diligence

Conflicts knowledge

AML background

Training delivery

Influencing skills

Tools

Smart Search

World Check

3e

Job description

Overview

We’re a national law firm with a local reach. Our legal experts are here for you. We understand that everyone’s situation is different, and we’re more than just a law firm – we’re a team helping individuals and businesses navigate life’s ups and downs. Working here you’ll feel part of our friendly and inclusive environment. We value you for who you are and what you bring. We support each other and push boundaries to achieve incredible things for our clients and communities. We’re committed to supporting colleagues to work in a way that works best for them, including our clients, the business and the regulators. Please speak to a member of our Recruitment and Onboarding team for more information.

Your Role and What You’ll Be Doing

The Client Onboarding Team provides a centralized client and matter onboarding service to fee earners engaging clients with the firm. You will contribute to delivering a high standard of onboarding service and ensure compliance with legal and regulatory requirements.

This is a hybrid position, working two days per week out of either our Sheffield, Birmingham or Manchester office. You will work closely with colleagues conducting client due diligence and conflicts checks to onboard our clients.

As a Quality Checker you will lead in ensuring those completing onboarding activities and their team leaders have a high standard of client due diligence and conflicts knowledge and are competent to meet regulatory requirements. You will also lead a small number of Coaches who deliver quality assurance checking, technical training, and competency accreditation to all members of teams involved in onboarding checks across the LLP.

Leadership

• Provide leadership and management to a team of Expert Coaches in the Client Onboarding department.
• Provide leadership on client due diligence and Conflicts quality, competency accreditation and technical training across the departments.

Accreditation and Quality Framework

• Design, implement and maintain a client due diligence and conflicts competency accreditation scheme and quality framework to sign off on competency and regulatory compliance, enabling career progression where appropriate.

Quality Assurance

• Lead quality checking of CDD/AML and Conflicts files in line with the accreditation scheme and quality framework, ensuring compliance with regulations and firm policies.
• Prepare and conduct quality assurance meetings with Team Leaders and the Head of Client Onboarding; produce detailed written reports at individual, team and departmental levels with findings and recommendations.
• Raise corrective actions for process or regulatory issues and liaise with case handlers to close actions, escalating where appropriate.
• Recommend improvements to internal processes and controls and support implementation of changes.

Technical Training

• Collaborate with Head of Client Onboarding, Team Leaders and Senior Officer to assess AML and conflicts technical skills; conduct regular training needs analyses and ensure findings feed into training plans.
• Provide periodic progress reports on actions identified from QA findings and gap analyses; coordinate with the Resource and Change Manager on training requirements and impact on the Competency Accreditation scheme.
• Design and deliver training for CDD, AML and Conflict checking; support onboarding of new staff with tailored training plans.
• Work with policy teams to understand changes affecting the client onboarding team and deliver required training to implement changes; coordinate induction programs for team members.
• Foster collaboration with leaders across the client onboarding team and GCT to achieve training objectives; drive improvements in client due diligence skills and knowledge.
• Stay up to date with regulatory, legislative and technical changes in respect of Client Due Diligence and ensure consistent application through training.
• Maintain high quality standards and controls and ensure proper record-keeping; share knowledge to promote best practice.
• Develop relationships with other functions, particularly the General Counsel Team, for knowledge sharing.

About You

Essential

• In-depth technical knowledge, skills, and experience in client due diligence and Conflicts.
• Strong understanding of the regulatory environment for client due diligence and Conflicts for both domestic and international clients; significant AML background.
• Influencing and written/oral communication skills across all levels of the business.
• Ability to work autonomously and make decisions within responsibility.
• Experience in preparing and delivering training to individuals and groups.
• Subject matter expert on SRA Standards and Rules related to Conflicts and/or Financial Crime prevention.

Desirable

• Training qualifications or experience with different learning methodologies; Train the Trainer will be provided where required.
• Knowledge of AML software such as Smart Search, World Check, or other providers.
• Knowledge of 3e.

Benefits

• 25 days holidays as standard plus bank holidays; option to buy up to 35 hours of extra holiday.
• Generous and flexible pension schemes.
• Volunteering days – Two paid days per year for a cause of your choice.
• Westfield Health membership with access to medical services and Aviva Digital GP.

We offer well-being initiatives and a Flexible by Choice hybrid working programme. We are proud to be recognised as a Best Workplace for Wellbeing for Large Organisations (2024).

Additional Information

As part of the on-boarding process, all successful applicants will undergo the Group’s employment screening, including right-to-work, criminal, and financial checks with trusted third parties. The screening will comply with Data Protection and applicable laws. Irwin Mitchell LLP is an equal opportunity employer.

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