• Review the output of the CMO team being sent to fee-earners and secretaries, and review them
to ensure the required information (such as draft engagement letters and conflict search
results) has been correctly recorded.
• Assess the risk profile of new and existing clients and help carry out client due diligence
required for anti-money laundering compliance purposes including liaising with clients.
• Analyse and review the results of conflicts searches undertaken by the CMO team, identify
where issues of conflict or confidentiality arise/may arise and advise fee earners on the most
appropriate way forward. Escalate and discuss particular sensitive conflict issues with the Risk
• Deal with fee earner enquiries regarding client and matter acceptance.
• Run company searches and press searches as required by fee-earners and secretaries and
obtain any additional client due diligence information which may be required.
• Support the Risk Manager (CDD) and Deputy MLRO on the administration of general anti-money
laundering issues and client due diligence matters (such as audits) as required.
• Manage and administer information barriers.
• Assist the Head of Risk & Compliance and COLP in administering the firm's Register of Breaches
of the SRA Code of Conduct.
• Undertake compliance audits to make sure that fee-earners and staff have complied with the
• Help administer the firm's Request to Deal in Listed Securities process.
• Assist the CMO Team to manage the client information held on the firm's finance system in
order to ensure that the information held is accurate, and work with and support the firm's
Finance Department in relation to the general administration of the system.
• Handle enquiries from fee earners and staff regarding new client forms and client data held on
the firm's finance system, and general regulatory and compliance enquiries as required.
• Work with the CMO team to allocate client numbers where the client opening process has been
• Assist in drafting and delivering risk and compliance training across the firm.
• Liaise with the SRA and Law Society on compliance and regulatory matters as required.
• Undertake legal research on a range of regulatory, compliance and anti-money Laundering
• Assist members of the Risk team with research projects and day-to-day compliance and
regulatory matters as they arise.
• Liaise with partners and lawyers throughout the Firm where appropriate.
• Assist the Head of Risk & Compliance in the preparation of lateral hire risk reports.