Senior Compliance Officer

This role as a Compliance Officer will involve carrying out conflict searches using conflict database software, conducting in depth analysis of the results of the searches and client identification checks. It will also be an important part of the role to be able to manage, assist and train junior members of the team, be involved in further development/implementation of processes and procedures and carrying out risk training for the firm.

Key responsibilities:

• Screening new and existing clients and all other relevant parties involved in the matter and requesting appropriate searches and appropriate checks from external agencies.
• Carrying out conflict checks for the firm within the Conflict database software, analysing conflict searches, identifying the existence of potential conflicts and liaising with partners and fee earners to clear potential conflicts of interest and open files.
• Liaising with partners and fee earners to obtain further information to assist with conflicts and AML analysis and to escalate any issues to the Head of Compliance or another member of the compliance team.
• Managing the business acceptance processes to ensure the team deal with conflicts and AML as expeditiously as possible, liaising with the Head of Compliance as appropriate.
• Answering conflict/AML queries from the firm or escalating them to the Head of Compliance or the MLRO or another member of the compliance team as appropriate.
• Assisting and training more junior members of the team and delivering training as required to the firm and new joiners.
• Assisting and inputting on projects, updates to client software and liaising with others in the firm as required where it impacts the client acceptance processes.
• Implementing, updating or developing best practice standards, policies and procedures in relation to client acceptance, and if required in other areas.
• To keep up to date with relevant regulatory and compliance developments and assist with monitoring actual and potential compliance risks.
• Deliver or assist with general Risk and Compliance training for the firm.

• Ideally educated to a degree level with previous experience in working in a similar role in risk and compliance. Non-graduates with previous risk and compliance experience will be considered.
• Knowledge and/or experience of using business intake systems.

Personal Attributes:

• Excellent communication and strong team working skills.
• Confidence and ability to engage with partners, fee earners and other members of staff.
• Proficiency in the use of internet as a research tool and internet based applications.
• Excellent time management and ability to prioritise work.
• Ability to exercise initiative, work independently and be able to manage more junior members of the team and deal with their queries.

Competitive base salary, bonus scheme and benefits package including contributory pension scheme, private medical insurance and 25 days holiday with the option to buy up to 5/ sell up to 3 days. In addition, we offer a range of flexible benefits which include a cycle to work scheme, dental insurance, discounted shopping and membership to a critical illness scheme.

Core hours are 09:00 – 17:30 with potential for a flexible working arrangement.

Stevens & Bolton – making a positive difference to your career

Stevens & Bolton is a UK law firm with over 200 staff. Of those around 150 are lawyers, approximately a third of them partners, many of whom chose to join us from City law firms. Our office is based in Guildford and our staff work from here and also flexibly.

We’ve made excellence the hallmark of our firm: in the clear advice we give, in the enduring client relationships we build and in our proactive and highly responsive service.  We seek to recruit people who will help us maintain and build on this, and in return we offer excellent long-term career and development opportunities.

You’ll work with people who listen, and who actively and willingly support one another within a collaborative and engaging environment.  We genuinely care about our people and strive to build and maintain a diverse, inclusive and happy workforce.

Our vision is to be one of the UK’s most successful law firms, offering excellence beyond the city, a supportive culture and the best client experience. Always making a positive difference. We were proud to be named Law Firm of the Year: The Independents at The Lawyer Awards 2020.