Job Description
My client is a leading and award winning South East firm of Solicitors providing a full range of legal services to businesses and individuals from offices in London, Brighton, Gatwick, Guildford, Hassocks and Horsham.
The firm operates a centralised client compliance and onboarding team which has 11 members, based in the Gatwick offices. At any one time the firm has around 15,000 open legal matters for around 8,000 different clients.
The firm is regulated by the Solicitors Regulation Authority (SRA) and must observe strict regulatory rules in particular in its transactions and financial dealings with clients. As part of our service often involves receiving client money and facilitating the transfer of assets (e.g. house purchase) we fall within scope of the AML Regulations. We must carry out matter risk assessments on all our new legal cases and matters. Along with our Risk Team, the Client Compliance Team play a pivotal role in ensuring the controls and systems are in place to keep the firm compliant with AML and SRA regulatory requirements for client onboarding.
The Information Services& Client Compliance Team handle the Firm's access to online resources, third party legal products and libraries, and File Opening matters including Client ID requirements and money laundering matters. The Team is a vital part of the Firm's Risk Management processes.
Job purp...