Stevens & Bolton LLP
Compliance Officer- Analyst
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Compliance Officer - Analyst
This role as a Compliance Officer - Analyst sits within the firm’s Risk & Compliance Team being part of a team of new business intake analysts reporting to the Compliance Manager NBI, and will involve:
- Carrying out conflict searches using NBI Intapp Open software and conducting in-depth analysis of the results;
- Performing client identification checks using various identification software programs and preparing client and matter risk assessments; and
- Helping to develop the firm’s new business intake policies and processes.
Key Responsibilities
- Risk assessing new and existing clients and matters, conducting AML due diligence checks and research, and producing risk reports. Assisting with monitoring client risk.
- Carrying out conflicts of interest checks within the conflict database software NBI Intapp Open, analysing conflict search results, identifying the existence of potential conflicts and liaising with partners and fee earners to address or clear potential conflicts and open files.
- Liaising with partners and fee earners to obtain further information to assist with conflicts and AML analysis and to escalate any issues to the Compliance Manager NBI or senior colleagues.
- Answering conflict/AML queries from the firm or escalating them to the Compliance Manager NBI or senior colleagues.
- Assisting with delivering training on NBI policies and processes.
- Supporting and developing junior members of the team.
- Assisting stakeholders across the firm with client acceptance processes.
- Contributing to updates and reviews of new business intake software.
- Helping to develop and update firm risk and compliance best practice standards, policies and procedures in relation to client acceptance.
- Keeping up to date with relevant regulatory and compliance developments.
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Qualifications and Experience
- Educated to degree level with minimum 2 years previous experience working in a similar role in risk and compliance.
- Non-graduates with minimum 2 years previous relevant risk and compliance experience will be considered.
- Knowledge and/or experience of using business intake systems such as NBI Intapp Open, Orbis and SmartSearch.
- Understanding of the SRA conflicts rules and anti-money laundering legislation.
- Proficiency in internet research and ability to learn use of software research tools swiftly, including AI.
- Enthusiasm and a desire to provide high levels of service.
- Very high standards and attention to detail.
- Excellent written and verbal communication.
- Strong team working skills and a proactive approach.
- Ability to exercise initiative and work independently.
- Excellent time management and ability to prioritise work.
- Confidence and ability to engage with senior stakeholders and engage in team meetings.
- Ability to manage and develop more junior members of the team.
The Opportunity
- Competitive base salary
- Pensions Scheme (5% employer contribution)
- Private medical insurance
- Permanent health insurance
- Life assurance
- Receive either the sum of £750 per annum as a travel allowance or reimbursement of carparking expenses via a pay as you go card at a local carpark (likely to be Farnham Road carpark)
- Travel – option to apply for an interest free loan for a season ticket or parking permit
- Enhanced maternity/paternity pay (after sufficient service)
- Cash back scheme
- Comprehensive flexible benefits package including:
- Critical illness insurance
- Buy/Sell holiday scheme
- Dental insurance
- Cycle to work schemes
- Taste card
- Fun pass
- Give as you earn
- Discounted gym memberships and shopping
- Profit share and discretionary bonus schemes
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The Firm
Stevens & Bolton – making a positive difference to your career
You’ll work with people who listen, and who actively and willingly support one another within a collaborative and engaging environment. We genuinely care about our people and strive to build and maintain a diverse, inclusive and happy workforce.
We are recognised as a top firm in The Times Best Law Firms 2025, shortlisted for “Law Firm of the Year: The Independents” at The Lawyer Awards 2025 and shortlisted for “Regional/Offshore Team of the Year” at the Legal Business Awards 2025. The Firm was recently named “Law firm of the year” at the 2025 Legal Cheek Awards, was shortlisted for “ESG Initiative of the Year” at the Women, Influence & Power in Law UK 2024 Awards and shortlisted for “UK Law Firm of the Year - Small/Mid-Sized Firm” at the British Legal Awards 2023. Our refurbished office has been awarded a RICS SKA silver certificate and a 2-star Fitwel accreditation.
We’ve made excellence the hallmark of our firm: in the clear advice we give, in the enduring client relationships we build and in our proactive and highly responsive service. We seek to recruit people who will help us maintain and build on this, and in return we offer excellent long-term career and development opportunities.
Diversity & Inclusion
We have a strong commitment to diversity and inclusion (D&I). This drives a strategy which focuses on constant promotion of an inclusive culture that encourages everyone to realise their full potential and be themselves at work. In 2020 we were shortlisted for “Best D&I Initiative” at The HR Awards and for “Best Talent and Inclusion Initiative” at The Lawyer Awards.
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