Client Onboarding Officer
Meet Our Recruiter
Emma Edwards
About Profile
Experienced in:
Risk analysis
KYC/AML Checks
Conflicts of Interest checks
PEP and Sanction screening
Adverse media checks
Client onboarding
Transaction monitoring
Source of Funds & Source of Wealth checks
We completely understand that this CV could come off as "jumpy" due to the candidate's career moves, however we have spoken with them at length about the reasons surrounding these moves and we completely understand their thinking behind them.
This candidate started her compliance career at a UK Law Firm and whilst they really enjoyed this role, they had to commute from Birmingham to Bristol a few times a week which was over 3 hours of commuting a day. They had been doing this for over 10 months when they were contacted by a Commercial Law Firm and asked to interview for their role in Birmingham. This candidate jumped at the chance to start working with a firm a little closer to home, but when they started the role they came to find out that the firm was not somewhere that they could see themselves staying long-term. This candidate spent a lot of time thinking about their situation and after much deliberation and soul searching realised that they couldn't stay within a role that was so clearly wrong for them.
Following this, the candidate moved to a European Law Firm, and now feels ready to explore other opportunities.
They are based in Birmingham.
Experience
Client Onboarding Officer | European Law Firm | 2023 - Present
Out of all my roles within compliance, my time here has tested me, excited me and taught me the most. This role is primarily divided between two functions, Client Due Diligence and Conflicts Clearance. My day-to-day duties can consist of the following:
- Client Risk assessments
- Collecting and reviewing client documentation
- Ensuring that all client information meets regulatory and internal compliance standards.
- Carrying out conflicts searches on Intapp using data submitted by the partners/reporting back to the partners on the results of the search, along with any issues raised.
- Conducting thorough due diligence on clients to verify their identities, assess risks, and prevent money laundering or fraudulent activities.
- Coordinating with internal teams to establish client accounts, including setting up systems, platforms, and access permissions.
- Serving as a point of contact for partners and PAs during the onboarding process, providing regular updates and addressing any inquiries or concerns.
- Evaluating the potential risks associated with new clients and collaborating with risk management teams to mitigate those risks.
- Maintaining accurate and up-to-date client records, ensuring all required information is properly documented and securely stored.
Conflicts & AML Analyst | Commercial Law Firm | 2022 - 2023
So far this role has been a step up from my previous role as a Compliance Assistant. Here I am dealing with work that is classed as high risk therefore the conflicts/kyc analysis is far more in depth. Also, I have recently taken part in work that involves ongoing monitoring/PEPS, this type on work requires for me to maintain records on a spreadsheet and keep it updated. An overview of the work I'm currently doing:
- Collecting and reviewing KYC for high risk clients
- Conducting conflict checks and analysing results to provide direction to the firm
- Requesting further information from the business and communicating decisions in a clear and concise manner
- Carefully monitoring and tracking high risk individuals/peps
- Reviewing Risk Assesments on Intapp
- Using systems such as Intapp and Vistra
- Currently I am being trained on Source of Wealth and Source of Funds
This role has been the ideal steppingstone into the risk and compliance world, I've managed to develop a deeper understanding of the compliance role. I can say with certainty that Compliance/Risk/AML are fields that I wish to continue and develop my career in. A brief overview of some of the work that I have been conducting during my time here;
- Performing conflict checks and communicating with partners and fee earners to gather relevant information in order to make informed decisions about potential conflicts
- Performing sanction checks and assisting in the maintenance of the conflict database
- Making sure I have a concrete understanding of the SRA Rules of Conduct and the Anti-Money laundering Regulations
- I am currently being trained on CDD/Client inception and I am hoping this will broaden my experience in the compliance/risk sector
- Working on conflicts that require me to import a large batch of requests from excel onto Intapp
- Often, I have had to review the relevant legislation to determine if a conflict can be considered being a high or low risk
Legal Secretary | Solicitors Firm | 2021 - 2022
This can be a very demanding role due to the high workload however I always mange to get tasks done efficiently. Delegation of matters is also key in this job as completion dates are always fast approaching.
Some of the key skills this role has taught me are:
- Production of legal letters, documentations, legal forms
- Being able to carry out work via audio dictation
- Dealing with client enquiries over the telephone and emails
- Teamwork alongside other legal secretaries and fee earners
- Comprehensive knowledge of Excel, Microsoft Word, Oyez Forms, Land Registry, LMS, Lender Exchange etc
- Up to date on AML regulations and client onboarding systems
- Legal and regulatory research skills
- Knowledgeable with regard to customer due diligence landscapes
- Excellent attention to detail.
Property Assistant | Construction and Renovation Company | 2019 - 2021
My work here consists of dealing with issues that the tenants may have, filing forms such as universal credit forms if tenants cannot pay their rent and making advertisements for vacant properties that need to be occupied.
Education
LLB