Qualified lawyer with Risk & Compliance experience and a keen interest in AML.
This candidate is interested in exploring the jobs market.

Experience

Risk & Compliance Solicitor | Full-Service Law Firm | 2017 - Present
Partner from early 2023 | Trusted advisor to the Managing Partner, COLP and the Management Board.

• A member of the firm’s Leadership Team since September 2021.
• Dealing with enquiries regarding the SRA, Code of Conduct and Ethics.
• Since September 2021, Deputy Money Laundering Officer; dealing with daily queries and any interactions with the NCA (referring to the MLRO only where discussion and second opinion are appropriate).
• Drafting and implementing policies, controls and procedures, predominantly in the field of AML, Risk and Compliance, including Client Due Diligence and ID procedures, payment processes and firm-wide training.
• Conflicts and Client Due Diligence advice to the whole firm.
• Data Protection Manager. Having a detailed understanding of GDPR and the Data Protection Act.
• Providing responses to DSAR/SAR requests, data breaches, and GDPR queries and liaising with the ICO where appropriate. Currently leading a data-mapping and DPIA exercise alongside our Head of IT.
• Senior Reporting Officer for the Law Society’s Lexcel accreditation including annual preparation of the firm for the inspection process.
• Responsible for advising on negligence claims against the firm, liaising with insurers and managing panel firms and/or Counsel when needed.
• Annual preparation for the firm’s Professional Indemnity insurance renewal process and working closely with brokers regarding renewal.
• Preparation and annual renewal of the firm’s D&O/Management Liability and Cyber policies.
• Research and drafting of the firm’s Corporate Social Responsibility (CSR) policy. Keeping in touch with the various projects that fall within its scope.
• Liaising with the IT department to request updates and changes to the firm’s case management system in response to experiences as well as the data required for PI and Cyber renewal.
• Handling client complaints including improving systems and structure for claims and complaints.
• Dialogue with clients/complainants and where internal resolution of a complaint is not achieved, working with the Legal Ombudsman to find a solution for the client and the firm. This has involved me attending a number of courses run by the LeO.
• Carry out regular file reviews /spot-checks/audits of lawyers and continuously update file review requirements with a close eye on file-opening procedures for new clients, to satisfy ID requirements and ensure that the entire firm is aware of this key issue.
• Providing regular feedback to Heads of Department following file reviews(and interaction with clients) as a result of problems identified.
• Analysis of complaints, claims, and client feedback in order to produce the firm’s Annual Risk Review.
• Assist with the renewal of CQS and handle queries from panels.
• Responsible for renewal of practising certificates
• Horizon scanning for changes to legislation, regulations and updates from the SRA, ICO, and NCA; monitor and initiate changes based on legal and regulatory changes.
• Working directly with Risk Partner, HR Manager and Training Partner; develop and deliver training on risk and regulatory issues.

Residential Conveyancer | Top 100 Law Firm | 2015 - 2016

• I was fortunate to go through an extremely rigorous training process with the Partner in charge of conveyancing. After such a long break from the legal profession, it was a detailed and thorough training experience dealing with a variety of leasehold and freehold sales and purchases as well as transfers of equity. This role was for almost a year and whilst I was not keen to continue with a career in conveyancing, it gave me sufficient experience and knowledge of residential property transactions to enable me to analyse the work and processes in my current role.

Solicitor | International Trading Firm | 2007 - 2007

• This is a small high street law firm where three-quarters of my caseload was residential conveyancing and the rest was private client and
  small commercial projects. A shock to the system after previous roles but nevertheless an invaluable experience.

Solicitor | Insurance Company | 2003 - 2004

• This subsidiary comprised a team of solicitors who managed and advised on negligence claims against professionals pursuant to their professional indemnity insurance. The work was predominantly the result of claims being made against solicitors from firms with 2-10 partners; the vast majority of these claims involved recent and historic residential conveyancing and private client mistakes. This was an academic environment with a heavy emphasis on research given the diversity of queries and claims - most claims were settled and those which went to litigation then required us to work alongside panel solicitors.

Solicitor | International Law Firm | 2000 - 2002

• Instructed to act for insurance and commercial clients on a variety of contentious matters both within the UK and internationally.
• Managing large-scale litigation, coordinating clients, witnesses, experts and litigation support teams throughout the course of the litigation process to final resolution.
• Acted on UK and international arbitrations for various clients.

Solicitor | International Law Firm | 1997 - 2000

• For the initial 18 months, I was a trainee. I qualified in November 1998 and specialized in insurance litigation. This involved a large degree of forensic investigation of claims arising from a variety of policies for financial institutions and acting for insurers.
• Involved in the handling of a wide range of insurance litigation matters. Progressing litigation, advising Insurers on reserves and negotiating settlements.
• Secondment to Tokyo for one year working on a variety of corporate work including international banking, joint ventures, aircraft securitization projects and employment law.

Legal Assistant (6m FTC) | Financial Services | 1996 - 1997

• This was an in-house role undertaken whilst waiting for my training contract to start in the Spring of 1997. I worked for the in-house senior legal counsel and was mainly involved in the due diligence process run by a Magic Circle Law Firm, whilst the company was being taken over.

Office Administrator | Petroleum Company | 1992 - 1994

• The work included all office administration as well as budgets for the London and international offices and monthly accounts (following one-to-one training) and a foundation course in accountancy for CIMA students. I worked in Spanish both written and spoken all day every day and prepared the accounts for the head office every month.

Education

Admitted as a Solicitor | 1998
PG Diploma in Law and LPC | 1994 - 1996
BA Hons Modern Languages and Information Systems (Spanish and French)