This candidate is a bright and intelligent Risk & Compliance professional who has been building their risk and compliance career over the past 4 years. They are currently working at a top 50 international law firm within the Risk Management side of the business which is separate from the Business Acceptance Team.
This candidate works closely with the Head of Risk and Risk Lawyers whilst also supervising some paralegals.
The work this candidate has been doing over the past 2 years is soon to be signed off as Qualifying Work Experience, meaning on successful completion of the SQE 1 & 2 exams, this candidate will be a qualified lawyer. This candidate has sound knowledge of the SRA Code of Conduct, we would describe them as an ambitious, and contentious person, and someone we feel you would have a very enjoyable conversation with.

Experience

Risk Analyst | Top 50 Law Firm | 2021 - Present

• Providing training to Risk Paralegals regarding their duties and providing ongoing guidance and support on a range of compliance topics.
• Managing, implementing and improving training systems to ensure consistent and effective delivery of training on a range of compliance areas in different jurisdictions.
• Carrying out SLA reviews and assisting in renegotiations as part of the novation process of a firm merger, to ensure consistency in risk-related clauses amongst current SLAs and SLAs to be inherited as a result of the merger.
• Assisting in the creation of firmwide training plans tailored to specific jurisdictions worldwide based upon their regulatory needs.
• Providing advice regarding data/GDPR breaches to staff and identifying and escalating reportable data breaches.
• Managing the firm's exposure to the Ukraine/Russia war by identifying clients and matters impacted by the events of the war to ensure the firm does not continue or take on new work outside the firm's risk appetite or any sanctioned work.
• Assisting in the firmwide identification, review and renegotiation of current SLAs with onerous risk-related causes to ensure alignment with the firm's risk appetite and terms of business.
• Creating and regularly updating a range of risk policies and guidance.
• Drafting firmwide communications and quarterly risk bulletins to provide risk-related advice and updates to the wider firm.
• Providing detailed analysis to the global management board on a range of compliance areas such as the effects of the effects of the Ukrainian war on the firm, sanctions and training statistics for each global region.
• Creating and maintaining Information barriers using Intapp Walls, while educating fee-earning teams on the proper use of different barrier types.
• Leading and managing compliance projects to implement updates to existing compliance processes, procedures and software. This has included identifying opportunities to better use technology to complete compliance tasks and subsequently liaising with third-party providers such as those at Intapp and Vinciworks to implement effective updates.
• Evaluating the outside interests of Partner candidates to ensure they pose a low risk to the firm.
• Carrying out sanctions checks and providing sanctions-related advice to ensure payments are not made to sanctioned individuals or entities.
• Presenting current compliance topics during global risk team meetings to bring awareness and ensure up-to-date knowledge amongst the global team.

Compliance Analyst UK Law Firm 2020 - 2021

• Independently coordinating quarterly internal file reviews and providing analysis of the data findings as part of the firm's Lexcel accreditation. Identify problem areas within each department in order to offer the support needed to rectify these problems to ensure quality throughout the firm.
• Assisting in the preparation of the annual external Lexcel reaccreditation
• Conducting research on legislative changes in all compliance-related areas in order to review and assist in updating key firmwide policies and procedures.
• Reviewing client due diligence documentation and carrying out risk assessments, analysing and establishing the corporate structure for clients where relevant and tracing up to the ultimate beneficial owners for both domestic and international clients.
• Reviewing metadata to mitigate against identity fraud and associated risks of onboarding clients during the pandemic
• Carrying out ongoing monitoring of existing clients and updating due diligence for existing clients. Following up on all potential sanctions and PEP alerts.
• Providing advice on KYC requirements and AML/CTF to lawyers.
• Carrying out conflict checks on new matters.
• Sanctions and PEP screening against all new clients and potential suppliers
• Carrying out due diligence on all potential suppliers to ensure compliance with modern slavery and data protection requirements.
• Maintaining a register of all suppliers to ensure information security best practices under ISO27001
• Independently coordinating the firm's CQS reaccreditation for members of the real estate team. Managing the external application process, issuing relevant training, organizing DBS checks, and keeping records of members of the scheme.
• Reviewing and adapting compliance procedures within the department to ensure both effectiveness and efficiency to maximize productivity.
• Assisting in the re-accreditation of the firm's ISO27001 accreditation – reviewing related policies, ensuring information security related logs and databases are kept up to date and all staff receive the required training.
• Training - Maintaining various records including the training and induction logs of compliance training. Identifying the training needs of individual departments and the wider firm to create tailored training plans.
• Creating Equality, Diversity and Inclusion initiatives to promote diversity and social mobility within both the firm and the wider legal sector. This involved seeking sponsorship opportunities for the firm to get involved in.
• Reviewing contracts for tenders, identifying terms and clauses that may pose a risk to the firm or contradict the firm's policies, insurance coverage or standard terms of business
• Assisting with invoice-related queries – identifying the correct entity to be invoiced and authorizing any changes to invoices to ensure legal obligations are met.
• Management of Breach Register – Recording all breaches reported to the compliance team and identifying any further action to be taken. Along with identifying and training requirements that may occur as a result of breaches.
• Enforcing Information barriers where they are required and keeping a log of all information barriers in force firmwide.

Compliance Analyst | UK Law Firm | 2019 - 2020
Legal Assistant (Compliance Paralegal) | 2019 – 2020

• Promoted from a Compliance Paralegal in recognition of my hard work.
• Onboarding of individuals and corporate entities internationally.
• Analysing a range of company documents to establish complex corporate structures in order to find an ultimate beneficial owner.
• Carrying out KYC procedures – analyzing and processing documentation to prevent identity fraud. Authenticating documents using 'SmartSearch' and Thirdfort artificial intelligence software.
• Internal GDPR auditing to ensure GDPR requirements are met across all teams firmwide
• Responsible for independently identifying legal conflicts where the firm cannot act and liaising with Client Relationship Managers where there is a commercial conflict.
• Carrying out the source of funds checks to ensure money accepted by the firm comes from legitimate sources and prevent fraud and Money Laundering.
• Internal auditing to ensure the source of funds and AML practices are carried out in accordance with relevant legislation.
• Creating, enforcing and keeping records of Information Barriers to ensure client confidentiality and compliance with SRA regulations
• Providing training to legal assistants and secretaries across the firm on using the conflict request system and client onboarding system alongside advising on documentation requirements for the onboarding of different entities. During the Covid-19 pandemic, many secretaries with experience in using these systems were furloughed. In response to this, I held virtual training sessions with members of staff across the firm in order to support them in taking on this new workload.
• Sanction-checking individuals and entities using worldwide sanctions-checking software such as SmartSearch
• Identifying PEPs and reporting them to senior management, while ensuring that an up-to-date register of PEPs is kept.

Education

LLM Legal Practice (SQE 1& 2) | 2023 - 2025
ICA Advanced Certificate Qualification in Anti-Money Laundering | Merit | 2021
ICA Essentials KYC/CDD certificate
LLB Law University | 2:1 | 2016 - 2019