1. Job Purpose
We are seeking a detail-oriented and proactive Compliance and Business Support Officer to join our firm. In this pivotal role, you will manage the full lifecycle of our legal files—from initial opening and Anti-Money Laundering (AML) onboarding through to file closing and internal compliance audits.
You will act as a key liaison between fee earners and our compliance functions, ensuring our firm maintains high operational standards and full compliance with SRA regulations.
2. Key Responsibilities
File Opening & Client Onboarding (CDD)
● Open new matter files across practice management systems with accuracy and promptness.
● Compile and review comprehensive Client Due Diligence (CDD) and Know Your Customer (KYC) packs.
● Conduct AML risk assessments, electronic identity checks, and source of funds/wealth verification in line with firm policies.
● Liaise directly with clients and fee earners to gather outstanding compliance documentation.
File Audits & Quality Assurance
● Conduct routine and ad-hoc internal file audits to ensure adherence to SRA Standards and Regulations, Lexcel, and internal quality procedures.
● Identify risk areas, missing documentation, or procedural gaps across practice areas and report findings to the COLP.
● Assist with preparing file sets and audit reports for external regulatory inspections or accreditation renewals.
File Lifecycle & Archiving Management
● Monitor active files to ensure ongoing file management standards are met.
● Process file closing requests, ensuring all client monies are clear, balances are zeroed, and original documents (e.g., deeds, wills) are logged appropriately.
● Oversee the secure archiving, retention, and destruction schedules of physical and digital records in compliance with GDPR.
General Practice Support
● Support fee earners with system query navigation regarding client onboarding and file closures.
● Maintain internal logs, risk registers, and compliance databases.
● Contribute to ongoing operational process improvements across the firm.
3. Candidate Requirements
Essential:
● Experience: Minimum 1–2 years’ experience working within a law firm or legal services environment.
● CDD/AML Knowledge: Practical understanding of Client Due Diligence, Source of Funds checks, and basic UK Anti-Money Laundering legislation.
● Audit & Accuracy: Exceptional attention to detail with proven experience in record-keeping or file reviewing.
● Tech Proficiency: Proficiency in legal case management systems (e.g., Clio, LEAP, SOS, Proclaim) and Microsoft Office 365.
● Communication: Clear verbal and written communication skills for engaging with clients, fee earners, and senior management.
Desirable:
● Working knowledge of SRA Code of Conduct and AML Regulations.
● Prior experience conducting SRA or Lexcel file audits.
4. What We Offer
● Salary: £28,000 – £35,000 per annum (dependent on experience).
● Benefits: Pension scheme, generous annual leave allowance, professional development support, and employee assistance programme.
● Working Pattern: Full-time, flexible/hybrid options available.
Pay: £28,000.00-£35,000.00 per year
Work Location: In person
