CMI Compliance Team Supervisor – Bristol
Managing a central team of 4 CMI Compliance Assistants and Administrators, you will ensure that the team accurately and promptly undertakes volume compliance tasks related to the client and matter take-on process on behalf of all of our fee-earning teams, as well as carrying out conflict risk assessment work and dealing with complex cases.
Role: CMI Compliance Team Supervisor
Hours: Full time
Vacancy Reference: 462-BBL
We have established a central CMI (client matter inception) team to undertake client and matter take-on compliance tasks on behalf of the whole firm.
In this role you will supervise and manage the central CMI team, ensuring that they carry out their work effectively and accurately. You will also carry out conflict risk assessments and more complex issues that arise during client take on. You will report to the Director of Best Practice & Knowledge.
The CMI team has been in place for 6 months. Currently it focuses on carrying out effective conflict checks. The team will:
- receive requests for conflict checks from across the firm;
- liaise with fee-earners and secretaries to ensure that they have the correct information to run the check, obtaining information from external sources, such as Companies House, where required;
- 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;
- run the conflict check using our in-house conflict checking software;
- analyse the conflict report to identify any potential conflicts of interest, taking into account our regulatory obligations and commercial risk considerations;
- refer potential conflicts to the Risk Management and Compliance team, with a recommendation as to the action to be taken; and
- implement the actions approved by the Risk Management and Compliance team, including setting up and managing information barriers.
The CMI Compliance Team is also involved in our AML process. The team will:
- carry out online searches, such as financial, sanctions and identity checks;
- check data entered into our systems as part of the client matter take-on process for accuracy;
- review client due diligence documents submitted to or 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;
- advise the fee-earner and secretary on the documentation required to satisfy our AML obligations; and
- manage the AML database, carrying out data verification checks and processing MLRO instructions such as granting exemptions or exempting clients.
We are currently reviewing our CMI process so in due course we expect the team will evolve to carry out other client and matter take-on tasks.
Your role will be to manage the day to day work of this team, ensuring that service levels are met, that conflict checks are run correctly and AML documentation is complete and accurate, in accordance with our procedures and quality standards. You will also sign off on conflict checks and carry out the detailed analysis needed for our Risk team to consider any the issue identified. You will liaise with the fee-earning teams to gather information and to input the recommendations made by the Risk team.
You will be responsible for training the team and, especially while the team is still getting settled into their work, you will be expected to pitch in and help process the day to day work, when required.
As part of your supervisor responsibilities you will monitor the team’s performance and provide management information as requested.
You will be integral to ensuring that the team has the necessary skills, training and time to carry out their tasks.
You will be a member of and actively participate in the project team which is looking at changing the client and matter take-on process in Clarke Willmott.
You will assist with other daily tasks related to client and matter take-on process, as requested by Director of Best Practice and Knowledge.
This is an exciting opportunity to help shape and establish a new business support team in the firm.
We are looking for a self-starter with drive, initiative and great organisational skills.
You must have an excellent understanding of the regulatory environment in which we work, in particularly the conflict of interest and disclosure provisions in the SRA Code of Conduct 2011 and the relevant anti-money laundering regulations. You must be able to apply your knowledge to the requirements of the different fee-earning teams in our firm, providing sensible solutions to deal with potential conflict situations.
You will have experience of managing other people; be approachable and be able to instil confidence in your team members. Your team will be working to tight deadlines and has a heavy workload, so you must be calm under pressure and be prepared to pitch in to help them meet their deadlines.
You will have excellent supervision skills and will provide feedback in a constructive fashion to help your team meet the highest quality standards, both in the accuracy of the tasks they carry out and in service delivery.
You will have experience of training people and helping them achieve their potential.
You will be comfortable working with lawyers at all levels and have good communication skills. You will be able to manage service provision criticisms with diplomacy and tact.
We expect you to be someone who takes pride in your work and who will ensure that this team provides first class support to our fee-earning teams.
This role would suit a qualified solicitor or legal executive looking for a new challenge, or someone already working in a supervisory role in a compliance team, ideally with a compliance qualification, in a law firm.
It is an integral part of this role that you comply with information security and all firm policies and procedures.
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