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- Tasks: Join a dynamic team as a Senior Compliance Advisor, reviewing policies and conducting risk assessments.
- Company: A top-tier legal firm in the city, known for its commitment to compliance and client service.
- Benefits: Enjoy a hybrid work model, competitive salary, and opportunities for professional development.
- Why this job: Make a real impact in compliance while working in a supportive and inclusive environment.
- Qualifications: Must have recent compliance experience in a law firm and knowledge of SRA StaRs and AML Regulations.
- Other info: Interviews are ongoing, so apply early to secure your chance!
The predicted salary is between 46000 - 58000 £ 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.
Please be aware this advert will remain open until the vacancy has been filled. Interviews will take place throughout this period, therefore we encourage you to apply early to avoid disappointment.
Tate is committed to promoting equal opportunities. To ensure that every candidate has the best experience with us, we encourage you to let us know if there are any adjustments we can make during the application or interview process. Your comfort and accessibility are our priority, and we are here to support you every step of the way. Additionally, we value and respect your individuality, and we invite you to share your preferred pronouns in your application.
Senior Compliance Advisor employer: Tate
Contact Detail:
Tate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Advisor
✨Tip Number 1
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 compliance during discussions with the interviewers.
✨Tip Number 2
Prepare specific examples from your previous experience where you successfully implemented compliance policies or conducted risk assessments. This will help you showcase your practical knowledge and problem-solving skills relevant to the role.
✨Tip Number 3
Network with professionals in the compliance field, especially those who have worked in law firms. Engaging in conversations can provide insights into the firm's culture and expectations, which can be invaluable during your interview.
✨Tip Number 4
Stay updated on current trends and challenges in compliance within the legal sector. Being able to discuss these topics during your interview will show that you are proactive and genuinely interested in the role and the industry.
We think you need these skills to ace Senior Compliance Advisor
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Senior Compliance Advisor position. Tailor your application to highlight your relevant experience in compliance within a law firm.
Highlight Relevant Experience: In your CV and cover letter, emphasise your extensive compliance background, particularly any recent experience in a law firm. Mention specific examples of how you've handled compliance decisions and trained junior team members.
Showcase Your Knowledge: Demonstrate your understanding of SRA StaRs, AML Regulations, and DPA/UK GDPR in your application. Use specific terminology and examples to show that you are well-versed in these areas.
Personalise Your Application: Make your application stand out by personalising it. Address the hiring manager by name if possible, and express your enthusiasm for the role and the firm. Mention why you believe you would be a great fit for their team.
How to prepare for a job interview at Tate
✨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 Training Experience
Since the role involves training new joiners, be ready to share examples of how you've successfully trained others in compliance matters. Highlight any specific training programmes you've developed or delivered.
✨Showcase Your Analytical Skills
The position requires analysing client structures and conducting risk assessments. Prepare to discuss your approach to these tasks and provide examples of how you've identified and mitigated risks in past roles.
✨Prepare Questions for the Interviewers
Think of insightful questions to ask about the firm's compliance culture and the challenges they face. This shows your genuine interest in the role and helps you assess if the firm is the right fit for you.
