Title:Client Due Diligence (CDD) and Conflicts Manager |
Hours:9.30am - 5.30pm and as required, flexible applications considered |
Working week:Monday - Friday |
Department:Business Acceptance |
Purpose of job:The role will involve people management of the team’s Paralegals and Analysts, and operational management of the CDD team which includes resource allocation, the delivery of team operational and strategic objectives, and acting as a technical advisor for complex CDD queries and team member escalations. The role will also include administration around new client matters, involvement with compliance projects and maintaining knowledge around the firm’s processes and industry standards to maintain excellent client service. |
Specific Duties:
People Management and Learning & Development:
- Line management of the Business Acceptance team’s Paralegals and Analysts.
- Conducting regular one to ones and bi-annual check ins to support on-going team member performance, learning and development.
- Supporting the Head of Business Acceptance with team resourcing requirements and recruitment.
- Ensuring team adherence to policy and process procedures and conducting training with team members and external stakeholders as required.
Technical Knowledge and Delivery:
- Monitoring the team's emails and ensuring requests are processed in a timely manner
- Opening new matters and clients.
- Carrying out conflicts and client due diligence checks and researching clients (including PEP and sanctions screening) and escalating where necessary.
- Answering queries around the client matter opening process.
- Analysing client information and client/matter risk assessments, escalating where required.
- Maintaining knowledge of the firm’s policies and processes and keeping up to date with industry standards to maintain excellent client service.
- Acting as the escalation for the Paralegals and Analysts on more complex or high risk CDD matters, to advise and progress matters efficiently.
- Demonstrating ownership of the maintenance and creation of information barriers.
Business Acceptance Team Operations, Risk Management & Stakeholder Engagement:
- Collaboration with the Head of Business Acceptance on the delivery of the team’s operational and strategic objectives, which will require involvement and support with compliance projects and other such projects which may arise.
- Communicating with fee earners about what will be required for high risk clients/ matters, sanctions and conflicts checks.
- Act as a trusted advisor to the firm’s senior stakeholders on high risk/complex matters and during project work.
Share insightLinkedIn X Facebook Email to a friend Print