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- Tasks: Join our team as a Senior Compliance Officer, reviewing policies and conducting risk assessments.
- Company: We're a top-tier legal firm in the city, known for our commitment to excellence.
- Benefits: Enjoy hybrid working, competitive salary, and opportunities for professional development.
- Why this job: Be part of a dynamic team, make impactful compliance decisions, and enhance your career in law.
- Qualifications: Must have recent compliance experience in a law firm and knowledge of SRA StaRs and AML Regulations.
- Other info: You'll receive training and guidance while working closely with experienced professionals.
The predicted salary is between 46000 - 60000 £ per year.
A legal 500 commercial law firm based in the city is seeking a Senior Compliance Advisor, paying up to £58,000 plus benefits, to join their growing team. After the initial training period, the role will be working on a hybrid basis, 3 days in the office and 2 days working from home. The position will be working closely with the Head of Compliance and will be supporting the COLP as well as the wider firm.
Duties will include the following:
- Reviewing compliance policies, plans and procedures
- Reviewing client due diligence documentation and carrying out risk assessments
- Ongoing monitoring and due diligence for various client types
- Opening and onboarding new clients to the firm
- Analysing and establishing the corporate structure for clients where relevant, and tracing up to the ultimate beneficial owners
- Assisting in the ongoing monitoring of existing clients and updating due diligence for existing clients
- Providing advice on AML/CTF to fee earners and other professionals
- Obtaining relevant information on new matters, if required, in order to make a judgement call on whether a conflict or potential conflict is present
- Screening all clients and matters for sanctions; conducting ad-hoc research in all areas of risk and compliance
- Conducting new joiner compliance inductions, creating awareness around the importance of compliance at the outset
- Assign and coordinate compliance training to all new joiners, and annual refresher training; coordinating with the Lexcel Independent File Reviews
- Assist the Head of Compliance with the maintaining of accreditation renewals (Lexcel and CQS)
- Assist the Head of Compliance with annual AML external audits
- Provide supervision and guidance to the compliance coordinator where appropriate
The ideal candidate will come from an extensive compliance background having worked within a law firm in the last year. You will have a strong working knowledge, understanding and articulation of the SRA StaRs and AML Regulations, as well as sound knowledge of DPA/UK GDPR. A strong track record of making compliance decisions as well as training more junior members of the team is essential. If you come from a legal compliance background and are looking for your next role in a really great team, then please do apply directly to the advert!
Contact Detail:
Tate Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer
✨Tip Number 1
Network with professionals in the legal compliance field. Attend industry events or webinars where you can meet people who work in similar roles. This can help you gain insights into the company culture and potentially get a referral.
✨Tip Number 2
Familiarise yourself with the latest SRA StaRs and AML Regulations. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to staying updated in compliance matters during interviews.
✨Tip Number 3
Prepare to discuss specific examples from your previous experience that showcase your decision-making skills in compliance. Highlight instances where you successfully trained junior team members or improved compliance processes.
✨Tip Number 4
Research the law firm’s recent compliance initiatives or challenges they may have faced. This knowledge will allow you to tailor your conversation during interviews, showing that you are genuinely interested in contributing to their team.
We think you need these skills to ace Senior Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your extensive compliance background, particularly any experience within a law firm. Emphasise your knowledge of SRA StaRs and AML Regulations, as well as your ability to make compliance decisions.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the firm. Discuss how your previous experiences align with the responsibilities listed in the job description, such as reviewing compliance policies and conducting risk assessments.
Showcase Relevant Skills: Highlight specific skills that are relevant to the position, such as your ability to conduct due diligence, provide compliance training, and manage client onboarding processes. Use examples from your past roles to demonstrate these skills.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects your attention to detail, which is crucial in a compliance role.
How to prepare for a job interview at Tate Recruitment
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the SRA StaRs and AML Regulations. Be prepared to discuss how these regulations impact your previous roles and how you've applied them in practice.
✨Demonstrate Your Experience
Highlight your extensive compliance background, especially within a law firm. Share specific examples of how you've successfully managed compliance policies or conducted risk assessments in past positions.
✨Showcase Your Training Skills
Since the role involves training new joiners, be ready to talk about your experience in training and mentoring others. Provide examples of how you've created awareness around compliance and facilitated training sessions.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your decision-making skills in compliance situations. Think of examples where you've had to make tough calls regarding conflicts or compliance issues and be ready to explain your thought process.
