Senior Compliance Officer

Job Description

Slaughter and May is a leading international law firm, recognised throughout the business community for its exceptional legal service, commercial awareness and commitment to clients. We advise across the spectrum of legal matters including high-profile,ground-breaking and complex transactions, contentious matters and all aspects of risk.At Slaughter and May, with over 1,500 partners and staff worldwide, everyones contribution is valued, and we all enjoy an open, friendly and supportive environment. We have an underlying sense of pride in who we are and what we do, and our inclusive culturegives rise to a unique diversity of thinking, which is critical to our success and helps maintain our position as a true market leader. To support our employees in achieving their professional development objectives, we offer an unrivalled variety of learningand development opportunities to everyone, as well as a highly competitive salary and a comprehensive benefits package.ROLE OVERVIEW //The Compliance Department is headed by the firm’s General Counsel and comprises a team of Compliance Lawyers and the Compliance Services team, within which this role sits. The Senior Compliance Officer reports to the Compliance Services Manager but has widerinteractions with all members of Compliance. In addition to performing day to day tasks, the Senior Compliance Officer supports the Compliance Services Manager with the supervision, development and training of the Compliance Officers, to ensure the team maintainsits excellent service level.The Senior Compliance Officer provides support, assistance and training to all users across the firm, and within the Department, in relation to the firm’s business acceptance policies and procedures. The breadth and variety of the role offers opportunitiesto apply knowledge, learn and develop new skills, participate in projects and monitoring exercises, review procedures and deliver training. Training and development opportunities are provided to support the Senior Compliance Officer in providing a professionaland expert service to the firm.KEY RESPONSIBILITIES //The key responsibilities of this role are set out below and there may be others which are not listed. The Compliance Services team operates on a rota basis covering Monday to Friday, 9am-6pm, and provides extended conflict check cover if the business requiresit.Team development and supervision• Monitor team’s shared mailboxes and workload, ensure work is distributed evenly and dealt with promptly.• Review team members’ work to ensure consistency, accuracy and excellent data quality• Assess team training needs and proactively put forward training ideas to Compliance Service Manager.• Develop and deliver presentations and training across the firm and within the Department.• Actively monitor and update team procedures and guidance documents.• Participate in the recruitment and training of new joiners.• Deputise for the Compliance Services Manager, when needed. Conflict searches• Run and send conflict searches to fee earners for analysis.• Review all new clients and matters to ensure that a conflict check has been run where one is required under the firm’s procedures.• Provide out of hours emergency conflict check cover Anti-Money Laundering ("AML") and Client Due Diligence ("CDD")• Work alongside the AML Officers to ensure that all new clients and new matters opened comply with the firm’s AML and CDD policies and procedures.• Conduct client screening, sanctions screening, enhanced due diligence monitoring and other research and searches as required.Client and matter inception and maintenance• Act as a Check Book keeper.• Review and verify client and matter record requests in Intapp Intake.• Deal with queries about client and matter inception, matter security and matter record maintenance.• Manage and implement ethical walls and maintain relevant logs.Terms and Conditions of Business• Send the firm’s Terms and Conditions of Business to new clients.• Record special terms agreed with clients.• Maintain the Terms and Conditions Register and Engagement Letter Register in Intapp Terms.Other responsibilities• Contribute to projects, all client mailshots and monitoring exercises as required.• Participate in the development, testing and delivery of compliance related technology projects.• Run Supplier checks and Dealing checks.• Compile statistics.• Act as an ambassador for Compliance, and the services it provides, internally and build relationships across the firm.CANDIDATE PROFILE //Candidates for this position should be educated to a degree level or have relevant work experience. They will have worked in a compliance role, preferably in a law firm, for at least 2 years and should be able to demonstrate the following keys skills andattributes:• Confident and articulate communicator, dealing effectively with people at all levels.• Present own ideas and complex procedures clearly and succinctly in a variety of communication settings and styles.• Excellent online research skills.• Absorb, analyse and consolidate large amounts of information.• Attention to detail in own and others’ work.•Confident in delivering constructive feedback.• Team player, role model for junior team members, offering support to colleagues and sharing information and best practice.• Experience using Intapp Open, Intapp Terms and Intapp Conflicts and an interest in Compliance technology solutions.• Experience of delivering presentations and training.• Active interest in compliance and current affairs.• Confident and proactive, prepared to take a hands-on approach to managing workload using own initiative.

Keyskills :
Legal Compliance