This candidate is a bright graduate who has been working in the legal compliance sector since Feb 2018. Their career has progressed steadily and she is now working in a senior role at an International Law Firm. They are the only Senior Analyst in the team, working very closely with the manager. They are the point of escalation and the main trainer for junior team members/new starters.
They have now reached a point where they aren't learning anything new in this role. They love the firm and love what they are doing, but are ready for a new challenge and see themself stepping into a management role overseeing a small team.

Experience

Senior Risk & Compliance Analyst | International Law Firm | Mar 2021 - Present

• Experience on-boarding high net worth & ultra-high net worth individuals, trusts and SPVs
• Screen prospective clients to identify PEPs, sanctioned persons and potential reputational risks to the firm
• Continually assess the risk of money laundering and have submitted a suspicious activity report to NCA
• First escalation point in the team; review risk assessments completed by analysts and legal administrators to determine if the correct level of due diligence and associated risk rating chosen
• Monitor inbox and reply to fee-earners' questions on obligations arising from AML regulations, DD requirements on clients and investors, conflicts of interest, sanctions, and other legal/regulatory risks
• Answer accounts queries and sign off on third-party payments that have reached the firm's client account
• Prepare and deliver training for the compliance team, trainee solicitors and PAs and conduct inductions for new joiners across the firm
• Drafted source of wealth guidance and updated CDD checklists, both to send to clients and for the compliance page of the intranet
• Recommended and implemented changes to Intapp to increase efficiency and clarity - built new form in the back end of Intapp and can amend functionality of existing forms
• Edited standard operating procedures
• Represented firm at external events; recently talked to local teens at a school fair

Legal and Regulatory Risk Advisor | International Law Firm | Mar 2020 - Feb 2021

• Part of the Office of General Counsel, administering the firm's risk management and compliance framework
• Worked closely with senior risk lawyers, fee earners at all levels and managers across the firm
• Triaged queries and escalated as appropriate – responses to supplier questionnaires, questions on professional conduct and regulatory implications, DSARs, data transfer agreements, outside interests, share dealing, escrow etc.
• Reviewed contracts from a risk perspective, specifically outside counsel guidelines and engagement letters
• Assisted on long-term projects on DAC6, anti-bribery and corruption, modern slavery and data protection
• Conducted ad hoc legal research to turn into 'know-how' and simple guidance/templates

Conflicts and Compliance Analyst | International Law Firm | Aug 2019 - Mar 2020

• Role encompassed similar duties and responsibilities as with immediate position below, but also gained exposure to the Marine, Aviation and Insurance practice groups.

Business Acceptance Analyst | Magic Circle Law Firm | Oct 2018 - Aug 2019

• Role combined conflicts of interest, AML and other compliance functions within an international law firm.
• Facilitated the business acceptance process for the firm globally, including new client onboarding
• Oversaw 4 apprentices/paralegals assisting with a CDD review as part of the firm's ongoing compliance obligations and in preparation for external audits worldwide
• Regularly communicated with internal stakeholders internationally
• Conducted risk analyses from a legal, regulatory and commercial perspective
• Undertook 'know your client' (KYC) research online and utilised licensed databases to accumulate CDD in line with relevant AML laws/regulations and local jurisdictional requirements
• Concisely summarised information assessed findings and escalated with recommendations where necessary

Business Acceptance Paralegal | Magic Circle Law Firm | Feb 2018 - Oct 2018

• Replied promptly to various ad hoc queries in the team's inbox and answered urgent calls via our hotline
• Provided advice to the wider business relating to all aspects of client and matter-opening processes
• Responsive to urgent demands and able to work under pressure to meet partners' expectations

Legal Support Assistant | Magic Circle Law Firm | Jan 2018 - Jan 2018

• Redacted personal data and competitively sensitive information from various customer contracts in order to prevent potential bidders attaining pricing information and/or a breach of competition law

Paralegal | International Law Firm | Dec 2017 - 2017

• Reviewed vast quantities of documents looking for competition law infringements
• Identified material relevant to the client's defence of any possible proceedings
• Worked to tight deadline to submit response to CMA, to provide information requested under s26 CA 1998

Compliance Officer | Boutique Law Firm | Jul 2016 - Nov 2017

• Organised and managed external audits by third parties; achieved an unprecedented 100% pass rate and received a commendation from the client on my revised registration process and associated paperwork
• Ensured all colleagues held a competent understanding of government guidelines - acceptable forms of right-to-work documentation, including visas and necessary pre-employment checks
• Trained and managed the administration team on office management, reception desk responsibilities, candidate/client relations using CRM, archiving, payroll process etc.
• Overhauled the candidate registration process in line with legal requirements and best practice; renewed paperwork and streamlined information input onto a database
• Performed internal audits/quality checks; summarised and reported results to senior management

Administrator | Boutique Law Firm | Dec 2015 - Jul 2016

• Introduced an efficient administrative structure
• Assisted the service team in client account management; took bookings, conducted candidate interviews, filled placements, dealt with phone enquiries and was the initial contact for visitors
• Conducted business analytics and auditing; compiled and analysed data; created weekly reports
• Maintained internal database; edited and formatted CVs; uploaded and updated candidate's profiles

Education

Graduate Diploma in Law University | Pass | 2014 - 2015
BA (Hons) History of Art | 2:1 | 2011 - 2014