This candidate is the Risk & Compliance Manager at a Reputable Law Firm with over 11+ years of experience gained within a range of law firms including US, International and Magic Circle.
They are an experienced manager and whilst they very much enjoy their current role, they are looking to move back into another large international law firm where they can run a larger team.

Experience

Risk and Compliance Manager | Reputable Law Firm | Jun 2023 - Present

• Direct line management of the Compliance team.
• Allocating work within the team to ensure that requests are dealt with in a timely manner.
• Reviewing CDD/AML checks conducted by the team ensuring quality control.
• Delivering compliance inductions to new joiners.
• Managing all internal Compliance systems and e-verification tools.
• Responding and dealing with higher-risk queries from the team and escalating to senior management where appropriate.
• Keeping up to date with all sanction regime updates as well as regulatory updates.
• Reviewing all client and matter risk assessments to ensure that it is completed correctly.
• Identifying the source of wealth and source of funds where necessary.
• Assisting the MLRO with reporting for the firm-wide risk assessment and other ad hoc projects.
• Reviewing and assisting with complicated client ownership structures and identifying beneficial owner(s).
• Conducting PEP and sanction checks using the World Check tool.
• Administering ongoing monitoring and enhanced due diligence procedures.
• Reviewing current software and screening tools, and making recommendations to enhance efficiency.
• Maintaining high-risk client and matter registers to ensure these are recorded and reviewed regularly.
• Working with the senior management team to help build an effective centralised risk function within the firm.

Senior AML Risk and Compliance Officer | International Law Firm | Jun 2018 - May 2022

• Took the lead on designing a new automated system on Intapp for the firm's AML checks and working closely with Intapp developers.
• Responsible for the implementation of the new Intapp systems throughout the firm along with training the firm on the new systems.
• Reviewing and updating AML processes and identifying better working practices to enhance efficiency.
• Conducting interviews for new hires in the Compliance team.
• Assisting the AML manager in creating training documentation for new hires.
• Assisting the AML manager with training for new joiners.
• Acting as the point of escalation for junior members and managing the AML team in the manager's absence.
• Reviewing external products/software to decide on the correct product for the firm.
• Reviewing external products/software, providing feedback to management and making recommendations on the best software.
• Assisting the Director of Compliance and MLRO with reviewing new AML policies and procedures for the firm.
• Excellent working knowledge of various corporate databases such as Orbis/BVD, D&B Onboard, DueDil, World Check and various company registries.
• Conducted CDD checks on all new and existing clients ensuring compliance with the firm's policies and procedures.
• Conducted investigations of business activities or ownership structures dependent on the client and prepared reports for management review and approval prior to onboarding.
• Conducted research into the source of wealth and source of funds for clients at the time of onboarding.

Conflicts and AML Specialist | International Law Firm | Nov 2017 - Jun 2018

• Creating new requests in Intapp and conducting corporate research on clients.
• Preparing conflict reports and marking relevant hits for review by the conflict attorneys.
• Providing AML support to fee earners and secretaries.
• Conducting and analysing CDD documentation provided.
• Escalating high-risk cases to the MLRO for approval.
• Ensure all conflicts and queries are dealt with and responded to in a timely manner.
• Good working knowledge of various databases such as WorldCheck, CapitalIQ, Hoovers, Orbis/BvD.

AML Analyst | Magic Circle Law Firm | Jul 2013 - Oct 2017

• Ensuring that all AML enquiries are managed in a timely manner by managing the team inbox.
• Completing CDD checks for all new and existing clients.
• Identifying ultimate beneficial owners by reviewing ownership structures.
• Acting as the first point of contact for fee-earners and secretaries when they have a risk and compliance query.
• Conducting sanctions checks and flagging any sanctions hits with the MLRO for approval.
• Conducting adverse media checks to ensure that reputational risks are considered prior to onboarding new clients.

Data Researcher | Practical Law Company | Jul 2011 - Jul 2013

• Working with the sales team in order to identify and create new sales leads.
• Verifying and validating customer information on PLC's In-house Customer Relation Management System (CRM) ensuring high levels of accuracy.
• Applying a variety of research techniques i.e. web searches, press releases and archived records to gather relevant information.
• Exercising my communication skills, by contacting customers directly through voice and non-voice means.
• Responsible for training new joiners on the in-house internal application system.

Education

International Diploma in Anti-Money Laundering | ICA | Jan 2020 - Oct 2020
Advanced Certificate in Practical Customer Due Diligence | ICA | Mar 2016 - Jan 2017
Certificate in Compliance | ICA | Jan 2016
BA Hons in Business Management Finance | Sep 2008 - Jun 2011