Senior Compliance Advisor
BCLPLondon/Manchester7 months ago
To provide professional, efficient and high quality support to the OGC’s Business Acceptance Committee (BAC) as a senior member of the BAT, managing the firm’s risk exposure on a range of legal and compliance issues relating to business acceptance (including conflicts of interest, sanctions, anti-money laundering (“AML”) and client due diligence (“CDD”) and reputational risk).
What’s in it for you?
The OGC has a global and cross-functional advisory remit. Our aims are to promote a risk aware culture based on ethics and integrity and to ensure everyone is aware of and pro-actively manages risk at all levels across our business in a way that enables us to achieve our strategic and business objectives and protects our reputation
You will be an integral part of the BAT with responsibility for supporting a number of key elements of the firm’s business acceptance with a focus on client and matter on-boarding
You will be working with colleagues in the BAT providing integrated legal, risk and regulatory advice and support to the business
This is an exciting time to join BCLP as, post-merger, the firm manages the development and implementation of global business acceptance policies to address the risks and opportunities across the US and international arms of BCLP.
Conduct conflict checking and analysis on the firm’s clients and matters
Co-ordinate with partners and other fee earners to identify/prevent/resolve potential legal and/or commercial conflicts
Act as contact point for conflict queries and referrals from within the BAT, the US arm of the OGC and the business
Relay conflict information in a straightforward and jargon-free manner to the firm
Management, establishment and maintenance of information barriers
Client and Matter Opening
Conduct initial and on-going CDD in line with the Money Laundering Regulations 2017 (“MLR”) and the firm’s policies, Liaise with the business and, where required, directly with clients to obtain CDD materials
Act as an AML/CDD/Conflicts/Sanctions subject matter referral point for both the BAT, the US arm of the OGC and the wider business
Conduct client and matter risk assessments consistent with the requirements of MLR
Undertake analysis of applicable economic sanctions regimes in relation to potential clients and matters
Prepare PEP/High risk client and matter reports for BAC to review
Obtain and analyse compliance and CDD information using public databases and third party information providers, including but not limited to Bureau Van Dijk Orbis, company registries, Accuity and SPARK
Understand and identify wider risk, reputational and conflict issues at client and matter take on stage
Deal with queries relating to the firm’s policies and processes, the client and matter inception (“CMI”) system, IntApp Open, from both the BAT and the business
Leadership & Supervision
Assist with ongoing, continuous training of the BAT
Represent the BAT in meetings with internal clients (e.g. with partners, other business support teams)
Provide team leadership and ‘day-to-day’ supervision and guidance for the BAT
Assist in the ‘day-to-day’ running of the BAT
Manage and monitor workloads and delegate tasks suitably within BAT
Act as a role model for the BAT
Manage the implementation of further processes on the CMI system as well as ongoing enhancements and testing of upgrades
Conduct training sessions on the BCLP CMI system, firm policy and procedure
Drive the on-going development, implementation and refinement of business enabling, risk-based compliance policy and procedures
Be responsible for and participate in a wide range of ad hoc projects including management of technology and process development and implementation
Assist in the monitoring of client and matter set up procedures to ensure they are followed correctly
Act as point of contact for external data providers.
Analyse data provider services to ensure the department is cost effective and efficient
Any other related tasks within the Office of the General Counsel
BAT in London and Manchester as well as working in partnership with all levels of BCLP to give integrated advice and support.
Experience and Knowledge
Practical experience of implementing and managing the CDD requirements of the MLR in an international environment across a range of corporate structures and jurisdictions
Extensive experience of working within the risk and compliance field, preferably within a legal environment
In depth knowledge of the Legal Affinity Group’s AML Guidance for the Legal Sector
Practical experience of conflict checking, relating to end-to-end legal, commercial and contractual conflict clearance, including the resolution of challenging conflict issues
US conflicts experience desirable, although not essential
Legal degree not essential, although preferable
Supervisory experience not essential, although preferable
Skills and Competencies
Excellent communication skills both oral and written; with an ability to articulate complex issues in an accurate, concise and clear manner; appropriately selects best communication medium; understands the importance of adapting communication style to different situations, individuals and stakeholders
Shows initiative, is proactive and takes ownership of their own workload; copes with unanticipated events; anticipates and explores the possibility for change; creates new ideas to add value and puts them to senior colleagues
Prioritising and multitasking skills; taking responsibility for prioritising work; flexible and adapts to pressure and changing demand on time; comfortable working on more than one piece of work at a time
Displays awareness of commercial environment and understands significance of matters in the wider context of the firm’s business
Ability to lead, motivate and develop team members
Flexible approach to working
Good working knowledge of Elite, Excel, Word and Outlook
Good team working skills
Diversity, Inclusion and Working Differently
At Bryan Cave Leighton Paisner we understand the value of a diverse workforce and we believe people perform at their best when they can truly be themselves at work. We aim to create an inclusive environment where all our employees are valued, motivated and able to be themselves. In order to provide the best possible service to our diverse client base, we are committed to recruiting, retaining, rewarding and developing our people with regard to their abilities and contributions and without reference to their background, gender, gender identity or expression, ethnic origin, age, religion, sexual orientation, socio-economic status, political belief, disability or any other protected characteristic.
Bryan Cave Leighton Paisner is a firm with an increasingly flexible workforce and is supportive of flexible working arrangements, tailored to the individual, wherever possible.
Please feel free to speak to the Recruitment Team about the flexibility we are offering for this role.
Bryan Cave Leighton Paisner will ensure all hardcopy and electronic materials containing confidential information are securely stored and accessible only to those authorised to view such content.
Please note: we will not accept speculative CVs sent to hiring managers or partners via email. We can only accept CVs sent via the portal from agencies that have agreed terms of business with the Recruitment team. For further information, contact email@example.com.