Compliance Assistant FTC

The Firm’s General Counsel’s Office is based in London and is responsible for dealing with all customer due diligence (CDD) and conflicts queries for the Firm (including foreign offices). There are currently 30+ team members (including this role) plus a Compliance Partner who is the Money Laundering Reporting Officer (MLRO).

This role working hours will be 10:30-18:30.

Roles and Responsibilities

• Manage the Client Due Diligence (CDD) mailbox by responding to queries, flagging emails for the NBI Managers and filing of emails
• Identify urgent requests and help the team to prioritise them
• Carry out World Check searches on the names of clients and related parties
• Carry out sanctions checks
• File CDD records into electronic in-trays for internal use
• Run conflict searches and send results to Fee Earners
• Review risk assessment forms submitted by fee earners
• Conduct electronic verification (EV) checks on individual new clients
• Provide ad hoc support for Analysts, NBI Managers and Head of NBI
• Assist with other administrative tasks as and when they arise
• Comply with all relevant legal and regulatory obligations including the Solicitors Regulation Authority (SRA) Standards and Regulations, and Principles.

Skills and Experience

• Previous administrative experience is preferable
• Strong IT skills including Excel, Word, and Outlook

Person Specification

• Demonstrate a positive outlook and hard‑working ethic
• The ability to learn quickly and listen to instructions carefully

Competencies

• Working together
• Integrity and respect
• Inclusive
• Personal impact and growth
• Driving high standards
• Commercial mindset

  Hybrid Working

  We adopt a hybrid and flexible working approach, dependent on the requirements of the role and subject to manager approval.

#J-18808-Ljbffr…