Reports to: Head of Risk and Compliance
Purpose of Job: To manage our client onboarding process from the point of client instruction, using our systems to run identification, anti-money laundering and compliance checks and centrally opening client files. To ensure Client Due Diligence is refreshed when necessary and the risk profile has not changed.
Main Activities:
- Execute the end to end due diligence for our clients, following AML and ID guidance, policies and procedures.
- Obtaining all identification required in line with strict guidance to ensure that both internal and external procedures and requirements are met and adhered to.
- Assuming key role within the Firm to enhance client service, efficiencies and ensuring the acquisition of clients for life.
- Pro-actively monitor Onboarding progress.
- Liaising with the Head of Risk and Compliance on any issues relating to client ID, escalating matters where required.
- Liaising with partners, solicitors and support teams to provide progress updates as required.
- Proactively chasing clients in order to progressing matters as quickly as possible.
- Opening all of the firm’s files, creating each matter appropriately within the practice management system promptly.
- Maintaining and working through the emails in the Compliance mailbox.
- Ensuring internal procedures are applied and followed.
- Ensuring accurate inputting of all data into the relevant practice management system.
- Ensure strict confidentially is maintained at all times.
- Manage on-going monitoring alerts for clients and report any concerns to the Head of Risk and Compliance.
- Comply with and uphold the firm’s policies and procedures, such as health and safety, IT, security, email and anti-virus policies and equality and fair treatment.
- Be flexible to carry out any other reasonable task and/or projects as requested within the office environment and in agreement with the Head of Risk and Compliance.
Knowledge/Skills/Experience:
- Team player with excellent organisation and time management skills.
- Able to communicate clearly and accurately to clients, both verbally and in writing.
- Ensuring confidentiality with personal & sensitive information.
- Ability to meet deadlines.
- Strong research and analytical skills, with excellent attention to detail.
- Able to use initiative working independently, as well as part of a team.
- Proven experience gained from working in a similar role.
- Proven experience of working with a case management system.
Additional notes or information:
- The duties and responsibilities in this job description are not exhaustive and are subject to change in accordance with the needs of the firm.
