The team
Shoosmiths LLP is authorised and regulated by the Solicitors Regulation Authority (SRA) and is also recognised as a multi-national practice with the Law Society of Scotland which regulates Scottish activities. We are also authorised and regulated by the Financial Conduct Authority (FCA) to carry out financial services regulated activities, including but not limited to insurance mediation and investment services.
The roleLead the centralised Client & Matter Inception team in the Quality & Risk Directorate. This will include undertaking and overseeing anti-money laundering (AML)/client due diligence (CDD) checks on new and existing clients, conflict of interest checks, on-going client monitoring, sanctions checks and assisting with other risk management procedures. Take responsibility for ensuring all actions carried out by the Client & Matter Inception team are conducted in a timely and efficient manner in accordance with all internal policies and procedures and in compliance with regulatory and legal requirements.
Main responsibilitiesAccountable for the efficiency and operations of the client inception process
Developing and managing the individuals within the team
Liaising with the other members of the Quality & Risk Directorate
Collaborating with the Partners/Legal Advisers/PAs within the Divisions to ensure accurate information about clients and matters is obtained
Resolve more complex conflicts of interest in liaison with the Legal Advisers, escalating where necessary
Reporting management information to the Director of Quality and Risk
Daily monitoring of activity to ensure all regulatory and legal requirements are met and internal procedures are complied with
Manage all escalations, ensuring the relevant issues are presented clearly and succinctly for internal compliance review
Ensuring all team SLAs are met and committed to continually improve service standards
Implementing process improvements to enhance the client experience, whilst enhancing operational efficiency.
Skills and qualificationsDemonstrable knowledge/understanding of a regulatory/control environment
Knowledge of client due diligence and conflicts of interest in the legal environment
Track record of working within a regulatory/control environment, preferably in a supervisory capacity or with ownership of an AML/Conflict of Interest related project
People management and leadership experience
Strong stakeholder management skills and ability to influence and deliver excellent results in conjunction with the senior management of the Quality and Risk Directorate
A good understanding of using and reporting management information would be advantageous
Performance Standard
Demonstrates strong leadership skills
Exceptional interpersonal & communication skills both verbally and written
Can do attitude
Strong client relationship skills
Organised/structured approach
Able to work in a fast-paced and demanding environment
Focused on quality of output as well as speed of delivery
Background checks
Due to the nature of the work undertaken, confirmation of employment will be subject to a variety of checks which will be carried out once an offer of employment is accepted. These checks will include employment references covering the last 5 years, proof of ID, proof of address covering the last 5 years, Personnel Vetting credit search (which will only highlight insolvency or County Court Judgments - should any adverse data show on the Personnel Vetting search then any offer of employment made will be withdrawn).Terrorism Check (against data supplied by the Bank of England) and a DBS check previously known as a Criminal Records check.
