This candidate has been working in the Risk & Compliance space for over 10 years in both Conflicts & AML roles in Magic Circle & US law firms. In their current role at a Global Law Firm, they report into the MLRO/COLP who is also a partner. This person is the sole individual within the firm responsible for AML/Financial Crime in the London office. There have been some changes to the team in America which means that this individual will now have more involvement in the Conflicts side of things and the lateral hire checks. This person is wanting to explore new job opportunities as they would like to feel more a part of a team. They are in a team of one at the moment and are worried that if they stay where they are, their professional development will be halted. When they were at the Magic Circle Law Firm, they loved being in a team and amongst peers. They didn't have official line management responsibilities
there, however, they did support junior team members.

Experience

Senior Risk Analyst Global Law Firm Sep 2017 - Present

Sole day-to-day responsibility for Anti-Money Laundering (AML) compliance, reporting to the Money Laundering Reporting Officer/Compliance Officer for Legal Practice who is also a full time Partner:

• Working to improve and update the relevant policies and procedures both for efficiency and to more appropriately allow for adequate risk assessments, high risk jurisdictions (HRJs) and source of funds.
• Adjusting the policies and procedures as required by the Fourth and Fifth Money Laundering Directives, including the updated Legal Sector Affinity Guidance.
• Providing input in relation to AML checks' functionality requirements for a new matter opening system.
• Preparing draft Suspicious Activity Reports.
• Acting as Organisational Contact for the Solicitors Regulation Authority.
• Advising on appropriate AML compliance for payments into the Client Account.
• Delivering training on AML and other compliance issues.
• Making process amendments to better address Criminal Corporate Offences regime, DAC6 / the Mandatary Disclosure Regime, and the Modern Slavery Act.
• Preparing for and participating in the audit by the SRA.

Senior Risk Analyst | Magic Circle Law Firm | Jan 2009 - Sep 2017

I started as a Conflicts Advisor, then was cross-trained on AML in advance of a secondment to New York and subsequently promoted to Senior Conflicts and New Client Advisor/Senior Risk Analyst.
I worked for a total of 4 years and seven months in New York with the remainder in London. During my time at Linklaters the role and structure of the team changed significantly including new information barrier and conflict checking solutions being implemented respectively Walls and Open from Intapp:

• I worked on the project to consider new potential conflict checking systems and what the firm's key requirements were for such a system. This project was invaluable and had at one its core goals to centralising more of the conflict clearance processes and to make targeted review more efficient. Once the project had been implemented, I became a champion for its efficient usage of the new functionalities it offers.
• During a period of two years, I was responsible for the interaction with the firm's outsourced personnel who assisted with certain tasks including uploading engagement terms, which required both management and project management skills.
• My role, experience and location in the team resulted in me having an important hand in the workload management and appropriate prioritisation of queries, which included co-ordinating team members' activities and delegating tasks. Therefore, equivalent to a local leadership role. I also needed to balance some supervision of colleagues in New York, mentoring and collaborating with colleagues in global offices.
• Clearing conflicts of varying complexity and involving different jurisdictions under English and New York rules including private company auctions, public Mergers & Acquisitions, Restructuring & Insolvency, equity capital market transactions, regulatory investigations and a variety of Dispute Resolution mandates.
• AML, reputational risk and sanctions' checks. In particular, experience conducting Know Your Client checks for with a wide variety of client types and extended money laundering jurisdictions:
  
  • Expertise with AML checks on private equity and similar ownership structures.
  • Experience dealing with enhanced due diligence scenarios including mandates involving Politically Exposed Persons, mandates with
    sanctions' nexuses and clients based in HRJs. These experiences included liaison with the Financial Crime lawyers, Director of Risk and
    senior practice stakeholders as applicable.
• I delivered New Client and Share Dealing training to colleagues and engagement terms' training to secretaries.
• Extensive experience of liaising with senior stakeholders, management colleagues and other stakeholders across jurisdictions.
• Conducting and co-ordinating lateral hire checks with particular focus on New York conflicts.

Paralegal roles | Various law firms | Feb 2007 - Jan 2009
Structured Finance & Derivatives Paralegal - Silver Circle Law Firm
Business Restructuring & Insolvency Paralegal - International Law Firm
Legal Department - Global Recruitment Firm for Thread Needle Investments
Aviation Litigation Paralegal - International Law Firm
In addition, I gained non-legal work experience during the summers between 2000 and 2004.
Vacation Placement Commercial Law Firm Jul 2005

Education

International Diploma in Anti-Money Laundering | Merit | Mar 2022
LLM (Masters in Law) | Jan 2014 - Dec 2015
Legal Practice Course Graduate Diploma in Law | Sep 2004 - Jun 2006
BA Politics (European Studies) | 2:1 | Oct 2000 - Jul 2004