Compliance Officer

Role overview

We are recruiting for a Compliance Officer to join the Legal, Risk & Compliance (“LR&C”) department.

The LR&C department advises the firm on the full range of regulatory and legal issues which affect it as a business, playing a key role in risk and reputation management. It is made up of three core teams (business acceptance, information security and privacy and legal) and works in close collaboration with the practice and members of Business Services.

The Compliance Officer works within the Business Acceptance team and ensures that all new clients and matters are opened in accordance with the firm’s new business intake procedures. The Compliance Officer is responsible for a range of tasks, including opening matters, running conflict searches, obtaining and lodging engagement letters, and sending the firm’s Terms and Conditions of Business to clients. They also provide support and guidance to all users in the firm, and in the Department, regarding those procedures.

Key responsibilities

The key responsibilities of this role are outlined below and there may be others which are not listed. The Compliance Officer team works on a rota basis, covering Monday to Friday from 9am-6pm, and provides extended conflict search cover if the business requires it.

Conflict and sanctions searches

• Conduct conflict searches in accordance with firm’s procedures and send results to fee earners for review.
• Ensure conflict searches are completed where required under firm policy.
• Monitor updates to sanctions lists, run relevant searches against client and matter records, analyse and escalate relevant hits to the Compliance lawyers.

Client and matter record opening and maintenance

• Review and approve new client and matter requests, ensuring compliance with data governance standards and formatting guidelines.
• Respond to queries regarding client and matter opening, matter security and ongoing matter record maintenance.
• Assist with ethical wall and matter security requests and queries.

Terms and Conditions of Business

• Send the firm’s Terms and Conditions of Business to new clients and assist with client mailshots.
• Collaborate with Compliance lawyers to categorise Outside Counsel Guidelines and other agreed terms in Intapp Terms.
• Follow up with matter teams for engagement letters and upload them into Intapp Terms.

Collaboration and support

• Monitor shared team mailboxes, ensuring emails, notifications and requests are allocated and actioned promptly.
• Identify and propose improvements to procedures or Intake workflows to improve efficiency.
• Ensure the team’s guidance manuals are regularly updated to reflect current policies and procedures.
• Act as an ambassador for Legal, Risk & Compliance, fostering strong internal relationships.
• Deliver training and contribute to team meetings.

Other responsibilities

• Approve Payer Request forms.
• Conduct Supplier checks and Dealing checks.
• Compile statistics and reports and contribute to compliance monitoring reviews.
• Maintain professional knowledge through horizon scanning, webinars, and internal training.

Candidate profile

Candidates for this position must have:

• At least one years’ experience within a law firm, including experience of conflicts processes.
• Confident and articulate verbal and written communication skills, the ability to deal effectively with people at all levels and present complex procedures clearly and succinctly.
• Ability to make sound judgements and recommendations.
• Excellent online research skills.
• Proven experience using Microsoft Word and Excel
• Experience using Intapp Intake (Open), Intapp Conflicts and Intapp Terms would be beneficial.
• Ability to absorb, analyse and consolidate large amounts of information.
• A confident and proactive approach to managing workload and using own initiative.
• Strong attention to detail in own and others’ work.
• Experience working collaboratively in a team, contributing, offering support to colleagues, and sharing information and best practices.
• Experience delivering training, or a willingness to deliver presentations and training.
• An active interest in compliance and current affairs.

We are committed to ensuring that our recruitment processes are barrier-free and as inclusive as possible for everyone. This includes making adjustments for people who have a disability or long-term condition. If you have any questions or require any adjustments to be made to one or both of the application or interview processes, please contact the Recruitment Team.

We are a Disability Confident Committed employer and will offer an interview to applicants with a disability or long-term condition who best meet the minimum or essential criteria for our Business Services roles. If you would like to apply through the Disability Confident 'Offer An Interview' commitment, please apply via our online application form and not via LinkedIn. You are disabled under the Equality Act 2010 if you have a physical or mental impairment that has a ‘substantial’ and ‘long-term’ negative effect on your ability to do normal daily activities. For more information about the Disability Confident scheme, please see the government website here.

We welcome applications irrespective of race, colour, ethnic or national origin, disability, sex, gender identity, sexual orientation, age, religion, belief or marital status.