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About the Role
This is a varied and dynamic role, proactively supporting the Director of Risk & Compliance in maintaining a robust quality and risk management framework across a top 100 law firm. Working on a largely autonomous basis, requiring the combination of core technical skills with the ability to innovate and provide effective solutions within the firm’s risk appetite. This is a 12 month Fixed Term Contract with an ideal start date in February 2027.
Responsibilities
- Manage and support the Onboarding Team Leader, stepping in to provide management over the Onboarding Team where required.
- Oversee the onboarding function, allocating tasks, ensuring timely query resolution, and maintaining high service standards.
- Conduct monthly one-to-one meetings with the Onboarding Team Leader and regular catchups with team members, monitoring performance and providing feedback.
- Serve as an escalation point for legal conflicts, AML, and onboarding issues, resolving high-risk queries and escalating to the COLP when appropriate.
- Deliver training to the Onboarding Team on conflicts, AML, client onboarding processes, and other required topics.
- Conduct conflict analysis on complex queries, liaise with partners to resolve issues, and prepare clear conflict assessments.
- Manage the ongoing monitoring process, review high-risk matters, and act as an escalation point from the Onboarding Team.
- Provide regulatory guidance on monitoring requirements, ensuring accurate records and hosting monthly ongoing monitoring meetings.
- Maintain oversight and management of the High-Risk clients, matters, and ongoing monitoring risk register, including SDD, discrepancy reporting, and AML risk.
- Mitigate regulatory, reputational, and liability risks by ensuring new business complies with firm policies, strategy, and risk appetite.
- Ensure all regulatory and other registers are kept up to date, including Insiders’ List and continuing competence records.
- Act as a central point of expertise on compliance queries, particularly SRA Code of Conduct, Principles, and conflicts of interest.
- Coordinate the preparation of regulatory returns, including SRA annual PC renewal.
- Work within the Onboarding Team Inbox during high demand periods, reviewing client and matter requests, conducting screenings, and supporting timely progression.
- Manage general cross-departmental matter management issues, including information barriers, undertakings, and key dates.
- Liaise with colleagues across the firm to address Risk and Compliance issues and queries.
- Undertake research into regulatory issues.
- Assist in the regular review and creation of policies and procedures within core areas of responsibility.
Requirements
- Experience of onboarding / matter inception in the legal sector.
- Technical knowledge across money laundering legislation, conflicts of interests, and sanctions requirements.
- Willingness to learn new skills and help develop and innovate new solutions.
- Proven ability to build, maintain, and nurture relationships, and communicate clearly at all levels.
- Ability to work under own initiative without the need for day-to-day direct oversight.
- Outputs focused approach.
- Client service-focused approach.
- Teamwork and collaborative working with colleagues.
- Strong people management and leadership skills.
- Ability to support team members and manage workloads effectively.
- Well-developed listening and questioning techniques.
- Strong written and verbal communication skills suitable for a professional services firm.
- Flexibility to work outside normal office hours as may be required from time-to-time.
- Comfortable working in a firm with a strong social purpose.
- Belief in the firm's values and a desire to make a difference.
- Desire to feel a part of the firm and 'belong'.
- Willingness to test assumptions and challenge.
- Desire for exposure to a variety of challenges that allow for innovation.
- Technically excellent, commercially minded, and possess great people skills.
Skills
- Money laundering legislation
- Conflicts of interests
- Sanctions requirements
- Relationship building
- Clear communication
- Initiative
- Client service
- Teamwork
- People management
- Leadership
- Workload management
- Active listening
- Inquisitive approach
- Written communication
- Verbal communication
- Research
- Policy and procedure review/creation
- Conflict analysis
- Regulatory guidance
- Screening (sanction and adverse media)
- Matter management
- Information barriers
- Undertakings
- Key date management
Location
- London
Work Type
- Fixed Term
- Full Time
- Hybrid Working
Experience Level
- 12 month Fixed Term Contract
Benefits
- Impact-Driven Purpose
- Committed to the Climate
- Championing Inclusion
- Flexible and Hybrid Working
- Progressive Benefits (green pensions, IVF support, private healthcare)
About the Company
- A top 100 law firm.
- A firm with a strong social purpose, considering people and planet alongside profit.
- Bates Wells is viewed as a high-quality employer.
- Bates Wells aligns profit with social purpose to create lasting positive impact.
- Bates Wells has a Climate Programme to reduce environmental impact and drive a just transition to net zero.
- Bates Wells fosters a diverse, inclusive culture where creativity and innovation thrive.