Team Manager - Client Inception Team

Shoosmiths - National Law Firm of the Year 2020 at the Women in Law Awards 2020

A leading UK law firm with a network of offices from the South Coast to Scotland, working together as one national team. An innovative practice and the first top 100 law firm to achieve “Gold Standard” Investors in People, our values and culture are not just words on our website but are the heartbeat of the firm. The lack of barriers between departments, a real lack of hierarchy, zero tolerance for arrogance and pomposity makes Shoosmiths a fantastic place to work.

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. 

Lead 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.

• Accountable 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.

• Demonstrable 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.

Shoosmiths is a committed Equal Opportunities employer promoting equality of opportunity. This means that everyone who either applies to or works for the firm is treated equally, whatever their gender, age, ethnic origin, nationality, marital status, disability, sexual orientation or religious beliefs.