Senior Compliance Analyst
Job Description
Job title: Senior Compliance Analyst
Company: TLT
Job description: We are recruiting for a Senior Compliance Analyst to join our Can I Act team in Bristol.
Your Role
As a Senior Compliance Analyst your day to day remit includes:
- Be the point of contact for answering internal queries within the CIA team and questions and complaints from Fee Earning teams after Team Manager (TM)
- Be a point of contact for Risk when referring something or delivering messages
- Support TM and competently deal with tasks (responsibility for overseeing CIA team inboxes, identifying and act on workflow needs, help ensure urgent request or those due to fall outside SLA are addressed and escalated where necessary)
- Take active and lead role in embedding new Risk processes into CIA and the wider firm (continue to offer support to end users around the firm as roll out’s continue, support newer CIA team members, identify knowledge to be shared, report any areas of improvement to TM, help with testing of systems as and when changes are made).
- Deliver training and awareness to Fee Earning teams.
- Meet with TM on a periodic basis to discuss the overall running/performance of the team
- Manage the team when TM is away (when deputising for TM take responsibility for ensuring SLA are met, queries from Risk and fee earners are dealt with, workloads are managed, and high risk matters are escalated to Risk)
- To have responsibility for supervising compliance assistants and analysis (not actively manage and improve staff related issues, e.g. poor performance, sickness, absence levels).
- To ensure the teams standards and service level agreements are met by actively managing work levels, work quality and resources within the team.
- To produce and distribute departmental reports to the business
- To undertake management training where appropriate
- Conduct consistency audits as part of supervision meetings – undertaking conflict request audits, assessing ongoing development and learning needs
- The team are responsible for managing and implementing assessments of all high and medium risk clients, requiring CRP’s to review information regarding clients with whom they have a business relationship, including recompleting the AML client risk assessment, and updating CDD accordingly.
Your Skills and Experience
- The role would suit someone with previous experience of working in compliance for a law firm in the areas of conflict checking and CDD/KYC.
- Team leadership experience or experience of supporting junior team members.
- Good research and analytical skills.
- Strong organisational skills and the ability to prioritise workload.
- Excellent communication skills and the ability to deal with people of all levels.
- Ability to work well under pressure and to deadlines in a fast-paced environment.
- Accurate data inputting, attention to detail and accuracy; good IT skills.
- Legal qualification desired but not essential.
Your Team
Can I Act are a shared service team within ‘TLT ReSource’ who undertake volume compliance tasks on behalf of the firm. The team deal with all tasks associated with taking on new clients and matters, such as conflict checking, client due diligence, and source of funds checks.
The team consists of 14 compliance professionals and is managed on a day to day basis by the Team Manager. The Risk Manager in Risk & Compliance is the strategic head of CIA and responsible for the team’s operations.
About TLT
Fast paced, fast growing and forward thinking, TLT is the law firm that helps clients stay one step ahead, and we do the same for our people.
We work with high profile clients in innovative sectors. With local, national and international reach, we have over 1,200 people in offices across the UK and a network of partner firms across Europe, India and the US. In 2021 we were named The Lawyer’s Law Firm of the Year, recognising our incredible success story.
Our purpose is to protect, prepare and progress our clients for what comes next and it’s essential that we do the same for our people, our planet and our communities too. In our open and collaborative culture, we encourage everyone to be their whole self, to have a voice and to contribute.
Our Benefits
We value our employees highly and we want you to feel valued. You’ll receive a competitive salary with an annual pay review. You will also have access to an extensive range of benefits via our flexible benefits scheme including 25 days holiday (which will increase to 30 days based upon length of service) and private medical insurance.
At TLT we have a progressive fully flexible working approach. We empower our people to work in a place and at a time that meets their needs, those of their clients and of the wider team and firm. Part of this agile approach is a focus on hybrid working and supporting the work/life balance of our people.
TLT is committed to creating a diverse and inclusive working environment and encourages applications from all suitably qualified people, regardless of any of the characteristics protected by the laws in the locations in which we operate.
We welcome applications from people with disabilities and are committed to providing reasonable adjustments, where necessary, to make interviews and jobs more accessible. Should you have any difficulty during the recruitment process, require any reasonable adjustments or an application to Access to work please contact the recruitment team on HR-Recruitment@TLTsolicitors.com
Expected salary:
Location: Bristol Area