CMI Compliance Assistant – Bristol
Working in a central team with 3 other CMI Compliance Assistants, you will undertake volume compliance tasks related to the client and matter take-on process on behalf of all of our fee-earning teams.
Role: CMI Compliance Assistant
Hours: Full time
Vacancy Reference: 436-BBL
We have recently established a central CMI (client matter inception) team to undertake client and matter take-on compliance tasks on behalf of the whole firm.
Initially the role will focus on carrying out effective conflict checks. You will:
- 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;
- if full information has not been provided to carry out the check; ask the relevant fee-earner or secretary for the outstanding information periodically until the check can be finalised;
- refer potential conflicts 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.
As you become more experienced in the role and understand the firm better you will become involved in assessing the results of the conflict report and making recommendations to the Risk Management and Compliance team.
You will also:
- review client due diligence documents submitted for entry on the AML database, liaising with the fee-earner, secretary and the client to obtain the required documents;
- manage the AML database, carrying out data verification checks and processing MLRO instructions such as granting exemptions or exempting clients;
- review client due diligence documents held in our AML database to identify what is missing or what needs to be updated, reporting to fee-earners or to the MLRO as appropriate.
As the CMI Compliance Team becomes established we expect the role may evolve to carry out other client and matter take-on tasks such as:
- carrying out online searches, such as financial, sanctions and identity checks;
- checking data entered into our systems as part of the client matter take-on process for accuracy.
You may 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 a 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.
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.
You must be able to understand the regulatory environment in which we work, and gain a good understanding 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. Full training will be provided to help you gain the required knowledge.
You will be a 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.
A legal qualification or experience of working in a compliance role in a law firm would be advantageous.
It is an integral part of this role that you comply with information security and all firm policies and procedures.
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