The Conflicts & Compliance Assistants
are responsible for running conflict checks for the casualty
business which includes service across multiple offices.
The volume business comprises of Legacy
Clyde & Co and Legacy BLM. These are inputted via the Client
Admin Team and CMI team, who then pass through the file for conflict
checks by our Conflict & Compliance Assistants.
Key Responsibilities
Conflicts
Reviewing new client and matter forms
ensuring satisfactory details are provided by the Case Handlers and
querying instances where information is either incomplete or
unclear, Due to the high volume, a quick turnaround time is
essential to identify any potential conflicts at the outset and to
adhere to current SLA requirements.
Analysing the new client and/or new
matter to determine the risks associated with the instruction.
Conducting conflict checks using the
firm's conflict database paying close attention to sensitive
entries in the firm's Black Book database.
Analysing conflict search results and
liaising with Partner/ Case Handler on the matters that may
present a legal or commercial conflict. Obtaining relevant
information on the matter, if required, in order to make a
judgement call on whether a conflict or potential conflict is present.
Escalating conflict issues to the
Conflicts and Compliance Team, as appropriate with clear analysis
of the conflict and the conclusions reached so far.
Proactively following up when seeking
information or conflict resolution from other stake holders around
the firm.
Maintaining and updating the conflict
search database as key information becomes apparent on existing matters.
Assisting in the research and
implementation of information barriers by working with the Risk
Team as matters are created, always safeguarding confidentiality
for the involved teams.
Supporting the high-volume business on matter inception, ensuring
that conflict checks are carried out in a timely manner.
Recording all conflict research,
communication with stake holders and analysis and conclusion of
the conflict resolution in the firm's client and matter inception
software, for the purposes of compliance and auditing.
Anti-Money Laundering
Researching, identifying and verifying
new clients by using online data providers and any other online resources.
Analysing and establishing the corporate
structure for clients where relevant and tracing up to the
ultimate beneficial owners.
Advising Case Handlers on further
details that are required from the client if information is not
available in the public domain or documentation is required on
identified individuals.
Researching and identifying PEPs and
high-risk clients by creating an online profile.
Attributing a risk rating to the client
and escalating the client to the Team Leader, Head of BAU where a
decision needs to be made upon analysis of documentation and risk.
Assisting in the on-going monitoring for
existing clients and updating Client Due Diligence for existing clients.
Recording all AML documentation,
communication, and risk rating in the Client Risk Assessment
section of the client and matter inception software, with a clear
synopsis of how the client rating has been attributed stating any
mitigating factors and follow up steps that need to be taken by
the BAU or Case Handlers.
Compliance
Maintaining technical knowledge,
expertise and know how on the nature of the work each department
undertakes in the Firm, conflicts, AML and sanctions.
Screening all clients and matters for
sanctions and escalating any adverse findings to the Risk Team and
Sanctions Partners.
Carrying out the conflict checking and
client on-boarding process for lateral hires.
Supporting junior members of the BAU
Team on queries and training.
Answering queries from Case Handlers and
escalating urgent queries to the appropriate individual within the department.
Assisting on the execution of projects
as and when they arise.
Essential Skills & Experience
Knowledge of anti-money laundering
legislation (Desirable).
Strong MS Office.
Meticulous attention to detail.
Strong customer focus.
Excellent communications skills.
Strong spelling and grammar skills.
Degree or other relevant qualifications (Desirable).
Experience using Elite Enterprise or
similar management systems (Desirable).
Strategic thinker with commercial awareness.
Service orientated: Recognising internal
and external clients and the importance of service delivery.
Ability to work as part of a team and
using own initiative, manage own workload and adapt to changing priorities.
Adaptable to new systems, procedures and
requirements of role.
Flexible approach: Willing to assist
others in achieving team objectives.
Confident dealing with senior management
and ensuring service levels are adhered to. Well-disciplined and self-motivated.
