AJ FOX COMPLIANCE
Compliance Officer
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Compliance Officer
We are working with an established commercial boutique law firm to appoint a Compliance Officer. This newly created role offers the opportunity to take ownership of client and matter onboarding, strengthen day-to-day regulatory compliance and shape efficient, consistent processes across the firm.
The firm is looking for an experienced compliance professional with a background in a solicitors’ firm or another regulated professional services environment. You’ll bring sound knowledge of anti-money laundering requirements, client due diligence and risk assessments, alongside strong organisation, attention to detail and the confidence to provide practical guidance and escalate concerns when needed.
Responsibilities
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- Owning the client and matter opening process, ensuring all required compliance checks are complete before work begins.
- Reviewing or overseeing client due diligence, know-your-client checks, risk assessments, enhanced due diligence, source of funds and, where appropriate, source of wealth reviews.
- Conducting or overseeing sanctions and politically exposed person screening, identifying potential issues and escalating higher-risk matters to the appropriate partner.
- Developing and maintaining efficient, consistent onboarding procedures, working with colleagues to meet requirements promptly without unnecessarily delaying work.
- Maintaining the firm’s compliance policies, procedures, registers and related documentation, and keeping management informed of relevant regulatory developments.
- Carrying out regular compliance audits and file reviews, reporting findings and following up to ensure remedial action is taken.
- Delivering compliance training and providing practical guidance to partners, fee earners and support staff.
- Overseeing file closures, maintaining appropriate records and management information, and producing periodic reports for management.
- Working with partners and management to improve systems, processes and controls, and promote a strong culture of compliance.
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