TLT LLP
Team Leader - Risk & Compliance
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Team Leader - Can I Act (CIA) Team
The role holder will be one of three team leaders, who would work together to assist the assistant manager and team manager in managing and leading the Firm's Can I Act (CIA) Team. The team deals with business acceptance (both compliance and conflicts clearance) and ongoing monitoring of the Firm's business relationships, and supports the wider Risk and Compliance function on a number of strategic and critical business protection activities.
Reporting into the CIA Manager, the role holder will have line management responsibilities, supervising a number of junior and senior analysts.
The Team Leaders are responsible for triaging and allocation of all work coming into the CIA team, including conflicts requests, new client inception, source of funds and third party payments queries, ad hoc requests for support and guidance from the business, together with wider strategic projects and initiatives in connection with the Firm's risk and compliance management.
The primary responsibility is the management of the CIA team's involvement in business acceptance and ongoing monitoring procedures in the firm. The Team Leaders also work with the Team Manager and Head of AML and Financial Crime (FC) on a number of wider compliance projects and initiatives.
In addition, the role holder will provide advice and support to the firm, its partners, and employees on a varied and challenging workload of enquiries relating to business acceptance and ongoing monitoring across all work types and areas of the firm, including conflicts of interest, source of funds/wealth, client due diligence (CDD), other financial crime and sanctions matters.
Your Role
- Supervision of compliance analysts undertaking conflict of interest checking, client due diligence, client and matter risk assessments and other legal compliance functions all whilst ensuring adherence to AML regulations and internal processes.
- Provision of ad hoc support to the wider team if needed, and acting as a point of contact for answering queries within the CIA Team as well as the wider business.
- Provide clear, accurate advice regarding CDD/KYC requirements, client and matter inception, source of funds/TPPs, and general AML queries.
- Be able to interpret AML regulations and internal policies to make risk based decisions when providing client and matter risk advice to members of the team and the firm.
- Assisting with development of the working practices of the team.
- To proactively monitor and allocate work across the team, working closely and collaboratively with the other team leaders, the assistant manager and manager to ensure all work is actioned promptly and in accordance with SLAs.
- To conduct supervision meetings and appraisals for direct reports, and assist in managing and improving staff related issues, e.g. poor performance, sickness, absence levels.
- To escalate complex issues to the team manager or Head of AML and FC, including reputational matters where appropriate, with suggested proposals on the course of action.
- Working with key stakeholders including the wider Risk and Compliance team, the partners, and the wider firm to ensure that all aspects of the firm's business are conducted in compliance with the law, regulatory requirements, and firm policies. This includes monitoring the regulatory environment and planning changes to policy and process, where required.
- To provide support on wider risk and compliance projects as need be, and participate in creation and delivery of training, updating guidance and forms for the team and the firm, including presenting to the firm as need be on any related topic.
- To build and maintain strong relationships across the firm, acting as a key point of contact in relation to business acceptance queries and leading communication across the business.
- To participate and support as necessary on any relevant risk and compliance projects or workstreams.
- Develop and improve on reporting suite of management reports for Head of AML and FC for different committees and reports, together with production of monthly management information for senior management.
- Working closely with the Head of AML and FC on reporting to the governance boards of the firm on regulatory requirements and firm policies.
- Working closely with the Head of AML and FC on training and promotion of best practice of compliance and conflicts procedures and policies across the firm.
- Promote a positive compliance and risk culture across all offices and functions.
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Your Skills and Experience
This role would suit someone with strong experience of dealing with conflicts of interest and AML regulatory issues, currently a team leader in a compliance function at another law firm or an experienced senior analyst looking to make the move to a team leader role.
- A minimum of four years' technical and practical experience of legal conflicts of interest, commercial conflicts and CDD within a law firm is preferred.
- People management/supervisory experience is desired, or proven track record of mentoring and supporting junior team members.
- Demonstrate good technical knowledge on the SRA Code of Conduct and Law Society of Scotland and Law Society of Northern Ireland rules as they relate to conflicts of interest and the Money Laundering Regulations 2017.
- Strong reasoning skills and the ability to think laterally.
- Excellent communication and interpersonal skills, with the ability to effectively collaborate and communicate with stakeholders at all levels, including the ability to effectively communicate and justify business acceptance decisions to partners, and handle challenging conversations.
- Demonstrate credibility to gain respect internally and, to the extent appropriate to the role, externally with people at all levels.
- Experience of delivering change and process improvements.
- Have an awareness of commercial issues and the commercial concerns of partners within the firm.
- Proactive and demonstrates ability to prioritise work and multitask effectively to meet deadlines and work to service level agreements.
- Ability to delegate confidently and effectively.
- Methodical approach to work and superb attention to detail.
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Your Team
Can I Act are a shared service team within 'TLT ReSource' who undertake volume compliance tasks on behalf of the firm. The team deal with all tasks associated with taking on new clients and matters, such as conflict checking, client due diligence, and source of funds checks.
The team consists of 14 compliance professionals and is managed on a day to day basis by the Team Leader. The Head of Operational Risk & Compliance is the strategic head of CIA and responsible for the teams operations.
TLT is known for the way we set new expectations and push the boundaries, but this can never compromise our firm, reputation or clients. The Risk team are there to make sure we are compliant with all our obligations in areas such as Data Protection, SRA and FCA regulation as well as protecting our clients and people. The Risk team includes both experienced lawyers and technical specialists who address an extensive range of regulatory and ethical requirements, thinking both commercially and practically to make sure we remain compliant and true to our values.
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