This candidate is a dedicated, personable and polished compliance professional with extensive experience within the risk and compliance space. Their expertise in Risk & Compliance dates back to 2015 and is supported by their various roles prior to their time at an International Law Firm.

Key experience:

• KYC, AML Regulations
• Compliance Monitoring
• Due Diligence (CDD & EDD)
• Sanctions, Politically Exposed Persons (PEPs) and Adverse Media
• Assisting with InTapp development project and training
• Conflicts of Interest checks

Within their current role, they have also acted as a point of escalation for various legal teams.
This Candidate has thoroughly enjoyed their time at the International Law Firm and is interested in continuing to develop their longstanding compliance capabilities. That being said, they
have been very focused on AML compliance within their current role and whilst they love this part of their role and would love to continue to undertake this work in their next role, they would also love to take back on some wider compliance work like they were undertaking in the previous two roles they held.

Experience

AML Officer | International Law Firm | Sep 2021 - Present
I currently work as an AML Officer to provide support to all employees across the firm.

• Running and sending conflict check searches to fee earners for analysis.
• Reviewing client and matter records created in the firm's client and matter opening system (IntApp) and supporting fee earners, secretaries, and others across the firm in complying with the firm's business acceptance and matter management procedures. For example, assisting with client and matter record maintenance, dealing with enquiries from across the firm in a timely and efficient manner etc.
• Screening all new and existing clients for Sanctions, Politically Exposed Persons (PEPs) and Adverse Media.
• Reviewing New Client Notes & Litigation Client Notes once circulated. Assisting fee earners in drafting New Client Note Lites where required.
• Conduct risk assessment analysis based on screening results and online research, and propose monitoring where required.
• Applying monitoring flags (Enhanced, PEP, High-Risk Third Country, and Sanctions) to party records as well as removing or ceasing as instructed by compliance lawyers.
• Review matter risk score and draft compliance analysis note, taking into account any other side parties, business sector, jurisdiction, matter subject activity and work classification.
• Carrying out research on all clients, analysing complex corporate structures, identifying ultimate beneficial owners and obtaining relevant Client Due Diligence ("CDD") evidence from both public and subscribed sources.
• Liaising with clients directly regarding any outstanding CDD or partners, associates, and secretaries.
• Reviewing CDD documents/information received from clients, and those held on file for existing clients to ensure accuracy.
• Carrying out weekly checks on clients subject to enhanced monitoring.
• Running third-party payer checks and establishing relationships with clients.
• Assisting and supporting the Compliance Officers and Junior AML Officers as required.
• Updating policies, procedures, and team manuals.
• Compiling statistics and assisting with conducting and reporting on compliance monitoring reviews.
• Reviewing online sources of information and news to identify items of interest to the Compliance Services team and distribute them accordingly.
• Developing and delivering presentations and training across the firm and within the Department.
• Dealing with enquiries from outside the firm that cannot be placed anywhere else within the firm and escalating if necessary.
• Assisting manager and compliance lawyers with ad hoc projects.
• Acting as an ambassador for Compliance and promoting the services it provides internally in order to build relationships across the firm.

Key achievements/projects

• Assisting with IntApp development project and training
• CDD migration and destruction process

Risk & Compliance Officer | International Law Firm | Sep 2018 - Sep 2021

I worked for 3 years as a Risk & Compliance Officer providing support to all partners, associates, trainees, paralegals, Executive assistants, the finance department, and other areas of business services.

Key achievements/projects

• Assisting with onboarding new clients and matters by ensuring that all details are correct in accordance with regulatory standards
  and firm policy.
• Conducting client due diligence, reviewing KYC documentation, and undertaking AML and sanctions searches on clients as appropriate and escalating any issues to the AML Lawyer and MLRO.
• Assisting the firm with maintaining a uniform application of engagement terms as well as reviewing, advising on and recording clientimposed terms.
• Ensuring that matter information, such as fee estimates, time limits and safe documents are kept accurate and up to date; reviewing any changes to the client, which may have an impact on client or matter risk and dealing with these in accordance with regulatory requirements.
• Reviewing firm policies and ensuring that they are kept up-to-date and in line with regulatory requirements.
• Assisting with setting up and amending information barriers and insider lists as required.
• Organising and providing internal training to the team and wider firm in order to embed best practices.
• Dealing with queries from members of the team and arranging additional training sessions for newer team members if required.
• Undertaking research and other projects as required to improve matter inception, policy, and process.
• Assisting Risk Lawyers in preparation of annual internal file audits, assisting other teams such as Revenue & Collections, Marketing, and Conflicts as necessary, and responding to ad hoc requests as directed by the business.
• Visits to international offices managed by me (Houston, Rio de Janeiro, and Sao Paulo) after the annual internal audit to provide training to partners, associates and PAs on compliance areas that need improvement.
• Assisting with Intapp development and providing training to the wider firm.

Compliance Paralegal | Legal Consultancy Firm | Mar 2017 - Sep 2018

I worked closely with a Compliance Solicitor and the MLRO (Money Laundering Reporting Officer).

My responsibilities included file opening, carrying out client and matter risk assessments, conflict checks, reviewing CDD documents and dealing with general compliance enquiries. I was also responsible for keeping/updating records of high-risk clients, carrying out legal research, diarising key regulatory dates, updating the risk register, carrying out file reviews and assisting with the annual practising certificate renewal.

Legal Administrator | International Law Firm | Sep 2015 - Mar 2017

I worked as a legal administrator in the Employment department for over 20 Solicitors including Senior Partners.
My role included contacting potential clients, carrying out conflict checks, AML checks, sanction checks, carrying out risk assessments, allocation of matters to appropriate fee earners, opening files, preparing engagement letters, dealing with client queries and payments on account, scanning/photocopying documents, booking appointments and diarising.

Legal Secretary (FTC) | Full-Service Law Firm | Sep 2014 - Jun 2015

I worked as a Legal Secretary in the Family department on a fixed-term contract to provide maternity cover. My duties included carrying
out conflict checks, opening new client files/matters, drafting letters, witness statements, engagement letters, instructions to counsel,
attendance notes, preparing trial bundles, preparing bills, booking appointments and diarising, dealing with client queries and payments
on account.

Education

Legal Practice Course (LPC) | Sep 2013 - Jun 2014
LLB (Hons) | 2:1 | Jun 2013