Manage risk and compliance operations for a law firm, including client onboarding, conflicts analysis, AML, sanctions and adverse media screening, ongoing monitoring, high-risk registers, regulatory compliance, policy development and training. The role supervises onboarding activities, resolves escalated issues, supports SRA regulatory returns, maintains compliance records, and advises colleagues on legal and regulatory matters.
This is a varied and dynamic role, proactively supporting the Director of Risk & Compliance in maintaining a robust quality and risk management framework across a top 100 law firm. Working on a largely autonomous basis, requiring the combination of core technical skills with the ability to innovate and provide effective solutions within the firm’s risk appetite.
This is a 12 month Fixed Term Contract with an ideal start date in February 2027.
This is a 12 month Fixed Term Contract with an ideal start date in February 2027.
Key Responsibilities
Key responsibilities
· Manage and support the Onboarding Team Leader, who is responsible for day-to-day oversight of the Onboarding Team. Ensuring the team function operates effectively and where required, stepping in to provide management over the Onboarding Team.
· Oversight of the onboarding function including allocating tasks where required appropriately, ensuring that the queries are a dealt with in a timely manner and that the service provided is accurate and of a high standard;
· Conduct monthly one-to-one meetings with the Onboarding Team Leader and maintaining regular catchups with the team members. Monitoring performance and providing provides to senior management and the Director of Risk.
· Provide the Onboarding Team with an escalation point for legal conflicts, AML and other onboarding issues, resolving higher risk queries, which includes identifying and recommending courses of action and escalating issues to the COLP for review, where appropriate.
· Deliver training to the Onboarding Team, where necessary, in relation to conflicts, AML, the process for onboarding clients and other topics, as required.
· Conduct conflict analysis on complex queries, liaising directly with partners to discuss and resolve conflict issues. Attend meetings where required and prepare clear conflict assessments and recommendation. Escalation point for conflicts from the Risk team.
· Manage the ongoing monitoring process, including reviewing high-risk matters and being point of escalation from the Onboarding Team. Provide regulatory guidance on the monitoring requirements ensuring our records are accurate, Hosting monthly ongoing monitoring meetings with Senior Managers and the Director of Risk. Setting and distributing the agenda and summary points ahead of the meeting.
· Maintain oversight and management of the High-Risk clients, matters and ongoing monitoring risk register. Including oversight of clients subject to SDD, discrepancy reporting and general AML risk. Directing the Onboarding Team on tasks associated with regular maintenance and updates associated with the register.
· Mitigate regulatory, reputational and liability risks to the firm by ensuring that all new business is subject to appropriate screening and monitoring and complies with the firm’s policies, strategy and risk appetite (e.g. conflict checks, reputational and strategy checks, AML, CTF, PF and sanctions reviews).
· Ensure that all regulatory and other registers are kept up to date, including Insiders’ List and continuing competence records.
· To be a central point of expertise on regular compliance related queries, specifically in relation to the SRA Code of Conduct and Principles and conflicts of interest including co-ordinating the preparation of regulatory returns including: SRA annual PC renewal.
· Working within the Onboarding Team Inbox during periods of increased demand, reviewing new and existing clients and matter requests through Liberate, conducting sanction and adverse media screening using SmartSearch and Accuity and supporting the timely progression of onboarding activities to ensure service standards are maintained.
· Responsible for managing general cross-departmental matter management issues including: information barriers, undertakings and key dates.
· To liaise generally with all colleagues across the firm to address issues and queries which are raised with Risk and Compliance.
· To undertake research into regulatory issues.
· Assist in the regular review and creation of policies and procedures within core areas of responsibility.
This captures the key areas of responsibility. Specific tasks may change over time – you will need to be adaptable and flexible as we continue to meet our clients’ needs.
Skills, Knowledge and Expertise
Required/essential skills
· Experience of onboarding / matter inception in the legal sector and technical knowledge across money laundering legislation, conflicts of interests and, ideally, sanctions requirements.
· A willingness to learn new skills and help develop and innovate new solutions.
· Proven ability to build, maintain and nurture relationships, and communicate clearly at all levels.
· Able to work under your own initiative without the need for day-to-day direct oversight. You will be outputs focused – we don’t look for the status quo all the time.
· A client service-focused approach.
· Teamwork – there is always a place for individual effort and contribution. Equally we value you working collaboratively with colleagues far and wide.
· Strong people management and leadership skills, with the ability to support team members, manage workloads effectively and collaborative team culture.
· Well-developed listening and questioning techniques. We want you to be inquisitive about the business and our clients and encourage you to ask questions, test assumptions and propose options.
· The written and verbal communication skills that go with working in a professional services firm. It includes the necessary grammar and writing skills to communicate to your audience, whether in a letter, report, presentation, meeting or seminar.
· Flexibility to work outside normal office hours as may be required from time-to-time.
Finally, it’s a given you will feel comfortable working in a firm, which has a strong social purpose, which considers people and planet alongside profit.
About you
· You see the value in Bates Wells as a career choice and view Bates Wells as a high-quality employer.
· You share our values and want to make a difference.
· You want to feel that you are a part of the Bates Wells experience and ‘belong’.
· You are not afraid to test assumptions and challenge.
· You want exposure to a variety of challenges that will allow you to innovate.
· You are technically excellent, commercially minded and have great people skills.
Benefits
Impact-Driven Purpose
We align profit with social purpose to create lasting positive impact for our people, communities, and planet.
Committed to the Climate
Through our Climate Programme, we reduce environmental impact and drive a just transition to net zero.
Championing Inclusion
We foster a diverse, inclusive culture where creativity and innovation thrive.
Flexible and Hybrid Working
Our hybrid model supports balance, with part-time options and at least two office days weekly.
Progressive Benefits
We offer green pensions, IVF support, private healthcare, and more for your well-being and growth.
We align profit with social purpose to create lasting positive impact for our people, communities, and planet.
Committed to the Climate
Through our Climate Programme, we reduce environmental impact and drive a just transition to net zero.
Championing Inclusion
We foster a diverse, inclusive culture where creativity and innovation thrive.
Flexible and Hybrid Working
Our hybrid model supports balance, with part-time options and at least two office days weekly.
Progressive Benefits
We offer green pensions, IVF support, private healthcare, and more for your well-being and growth.
About
At Bates Wells, we’re not the average law firm. We believe that actions speak louder than words. We strive to do the right thing as a business and to help our clients make a positive impact on their people and society.Recruitment at Bates Wells – The use of AIAt Bates Wells, we are committed to transparency and fairness in our recruitment processes. We understand the importance of ensuring that our methods align with best practices and respect the privacy and rights of all candidates.We would like to clarify that we do not use artificial intelligence (AI) to screen, sift, score, reject, or approve any recruitment decisions, at any stage of our recruitment process. Our recruitment decisions are made by hiring managers and the HR team, ensuring a personal and thoughtful approach to each candidate.We do utilise AI technology in a limited capacity to enhance our recruitment process. Specifically, we use Metaview to record and transcribe interviews. This tool helps us maintain accurate records of interviews, to support objective scoring of answers based on evidence and ensures that we can review and reflect on the conversations held during the recruitment process. Importantly, Metaview is not used to evaluate candidates or make any decisions regarding their suitability for a role.We are committed to maintaining the highest standards of privacy and fairness in our recruitment processes and will continue to review and update our practices to ensure compliance with all relevant regulations and guidelines.
Bates Wells London, England Office
London, United Kingdom
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