Compliance Officer - Junior Analyst Guildford, England
Job description
This role as a Compliance Officer – Junior Analyst sits within the firm’s Risk & Compliance Team and will involve being part of a team of new business intake analysts:
- carrying out conflict searches using conflict database software and conducting in depth analysis of the results of the searches;
- performing client identification checks and preparing client and matter risk assessments; and
- helping to develop the firm’s new business intake policies and processes.
Key responsibilities
- Risk assessing new and existing clients and matters, conducting AML due diligence checks and research, and producing reports.
- Carrying out conflicts of interest checks for the firm within the conflict database software, analysing conflict search results, identifying the existence of potential conflicts and liaising with partners and fee earners to address or clear potential conflicts and open files.
- Liaising with lawyers to obtain further information to assist with conflicts and AML analysis and to escalate any issues to the Head of Risk & Compliance or senior colleagues.
- Answering conflict/AML queries from the firm or escalating them to the Head of Risk & Compliance or senior colleagues.
- Assisting stakeholders across the firm with client acceptance processes.
- Contributing to updates to new business intake software.
- Helping to develop best practice standards, policies and procedures in relation to client acceptance, risk and compliance.
- Keeping up to date with relevant regulatory and compliance developments and assisting with monitoring compliance risks.
- Educated to degree level and preferably with previous experience in working in a similar role in risk and compliance.
- Non-graduates with previous risk and compliance experience will be considered.
- Knowledge and/or experience of using business intake systems such as Intapp Open, Orbis, Smartsearch preferable.
- Understanding of the SRA conflicts rules and anti-money laundering legislation.
- Proficient IT skills including in the use of internet as a research tool and ability to learn use of software research tools swiftly.
- Enthusiasm and a desire to provide high levels of service.
- High standards and attention to detail.
- Excellent written and verbal communication.
- Strong team working skills and a proactive approach.
- Ability to exercise initiative and work independently.
- Excellent time management and ability to prioritise work.
- Confidence and ability to engage with senior stakeholders.
- Competitive base salary
- Pensions Scheme (5% employer contribution)
- Private medical insurance
- Permanent health insurance
- Life assurance
- Receive either the sum of £750 per annum as a travel allowance or reimbursement of carparking expenses via a pay as you go card at a local carpark (likely to be Farnham Road carpark)
- Travel – option to apply for an interest free loan for a season ticket or parking permit
- Enhanced maternity/paternity pay (after sufficient service)
- Cash back scheme
- Comprehensive flexible benefits package including:
- Critical illness insurance
- Buy/Sell holiday scheme
- Dental insurance
- Cycle to work schemes
- Taste card
- Fun pass
- Give as you earn
- Discounted gym memberships and shopping
- Profit share and discretionary bonus schemes
Stevens & Bolton – making a positive difference to your career
Stevens & Bolton is a leading independent UK law firm located in Guildford, supporting clients across the world. With over 270 people, approximately 160 lawyers, many of whom chose to join us from City law firms.
Our vision is to be one of the UK’s most successful law firms, offering excellence beyond the city, a supportive culture and the best client experience. We take great pride in being named "Law Firm of the Year: The Independents" at The Lawyer Awards 2020 and receiving commendation in 2023.
At Stevens & Bolton, we pledge to make a positive difference for our clients and colleagues alike. For our colleagues, this means providing support in their daily work and fostering their career growth. You’ll work with people who listen, and who actively and willingly support one another within a collaborative and engaging environment. We genuinely care about our people and strive to build and maintain a diverse, inclusive and happy workforce.
Diversity and inclusion lie at the core of our values. Our inclusive culture encourages everyone to realise their full potential and be themselves at work. In 2020 we were shortlisted for “Best D&I Initiative” at The HR Awards and for “Best Talent and Inclusion Initiative” at The Lawyer Awards.
We are committed to an agile working model that provides flexibility and benefits everyone's lives. Our newly refurbished office in Guildford offers a modern and adaptable working environment - a central hub where collaboration, teamwork, and socialising thrive. Furthermore, we equip our people with the necessary IT infrastructure and support to seamlessly work from home.
