Compliance Assistant
Exciting Junior Fixed Term Contract working for TOP LAW FIRM!
Key Duties
A Compliance Officer is principally responsible for the provision of guidance and advice to the firm as part of the New Business Intake process and for ensuring that the relevant policies and procedures to which the firm subscribes are adhered to at all times.
Review New Business Intake forms submitted by both the International and US LLPs
Ensure CDD has been gathered to the appropriate standard for all new client registrations, including those clients for whom enhanced due diligence is required
Conduct a degree of personal research from public sources. This involves familiarisation with a wide array of potential sources, including company registries, stock exchange websites, financial and legal regulators websites, company search providers and external databases. The ability to perform basic translation of key business terms in a variety of modern languages is essential
Liaise with legal staff, support staff and research teams to obtain any remaining CDD information
Where appropriate, liaise with the firm's clients regarding CDD requirements
Document the evidence obtained during the CDD process in a clear and concise manner
Conduct risk rating reviews on clients taking into account the information gathered during the CDD process and the manner of work to be undertaken by the firm
If you have 12 months plus compliance experience in financial services or working for a law firm and an excellent educational background, please do apply
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