CMI and Compliance Assistant – Knowledge Services – Firm Wide
This is an entry level role working in a central team, you will undertake volume compliance tasks related to the client and matter take-on process on behalf of all of our fee-earning teams. To be successful in this role, we don’t expect you to have any prior knowledge or experience in the subject matter as full training will be provided by the team.
Role: CMI and Compliance Assistant
Location: Bristol, Taunton, Cardiff, Birmingham, Manchester, Southampton
Hours: Full Time
Vacancy Reference: 734-BBL
We have an established central centralised team to undertake client and matter take-on compliance tasks on behalf of the whole firm.
- Receive requests for conflict checks from across the firm;
- Liaise with fee-earners and secretaries to ensure that you have the correct information to run the check, obtaining information from external sources, such as Companies House, where required;
- Run the conflict check using our conflict checking software;
- Review the conflict report to identify any entries which match the search criteria and refer any potential conflict to the Risk Management and Compliance team;
- Communicate the outcome decided upon by the Risk Management and Compliance team to the fee-earner and secretary and implement any further actions needed as a result of their decision.
- Review the Customer Due Diligence (CDD) documents for new or for existing clients to understand our customers and flag any anti-money laundering concerns to the CMI Compliance Team Manager and Money Laundering Report Officer.
You will also carry out related administration tasks such as scanning, filing documents to our document management system and updating databases such as our AML database. The team has an administration assistant, but you will be asked to provide cover during holidays or other absence.
You will assist with other daily tasks related to client and matter take-on process, as requested by the Team Manager.
This role reports to the CMI Compliance Team Manager and ultimately to the Director of Best Practice & Knowledge.
It is an integral part of this role that you comply with information security and all firm policies and procedures.
This is an important position which carries a degree of responsibility, as it is vital that the client and matter take-on checks are run accurately and carefully reviewed.
You will be managing many different requests and you will be working to demanding deadlines. You will need self-motivation, drive, initiative and great organisational skills.
You will pay meticulous attention to detail in all of your work. Accurate data inputting skills are also essential.
We expect you to be someone who takes pride in your work and who will provide first class support to our fee-earning teams.
Throughout your training, you will gain understanding of the regulatory environment in which we work and a knowledge of the conflict of interest and disclosure provisions in the SRA Code of Conduct 2011 and the relevant anti-money laundering regulations. You will need to apply that learning to the requirements of the different fee-earning teams in our firm.
You will be an enthusiastic team player who enjoys helping others and who works collaboratively with colleagues. You will be comfortable working with lawyers at all levels and have good communication skills.
This role will suit a recent graduate (or equivalent) who is looking to gain some office experience.
If you would like to apply for this vacancy, please send us your CV, together with a covering email/letter using the button below:
(If you have any difficulties with the link, you can email your application to us at firstname.lastname@example.org)
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