Compliance Systems Manager
The firm’s Risk Legal Team, led by General Counsel Susan Rosser, includes 12 lawyers and 4 paralegals advising on all aspects of legal risk, including financial crime compliance, claims, complaints, insurance, engagement terms, contracts, data privacy, SRA STaRS compliance and conduct issues and regulatory engagement.
The firm’s Director of Compliance and MLCO, Zoe Allen-Robinson, is primarily responsible for ensuring the firm complies with its obligations around anti-money laundering compliance, international sanctions and client suitability/reputational risk issues. The New Business Intake (NBI) team is headed by Dom Doige, Head of NBI, and includes New Business Intake Managers, Senior Compliance Analysts, Compliance Analysts and Compliance Assistants with some of the team based in Europe, the Middle East and Asia. The NBI team handles all aspects of on-boarding new clients and ongoing client monitoring where required, including client due diligence (CDD), sanctions checks and conflict checking for the entire firm. The NBI team’s objective is to on board new clients and matters as efficiently as possible whilst ensuring that all regulatory requirements are met.
The Compliance Systems Manager will report to the Head of NBI but will have wider interactions with all members of Compliance, including the Compliance lawyers, members of the IT department and more broadly across the firm. This role will also work especially closely with the Head of Finance Systems and other members of the Finance Systems team.
The role is to support and assist the Head of NBI with the firm’s projects in relation to the continuing maintenance and development of Intapp Intake, along with the Intapp Walls and potentially other Intapp products to meet the firm’s regulatory and other internal requirements. This is an exciting opportunity to use your knowledge and experience of both onboarding procedures and Intapp to get involved with all aspects of the projects, including formulating requirements, attending design workshops, helping with user acceptance testing, training, writing manuals and procedures and change management.
Roles and Responsibilities :
•Represent the interests and needs/requirements of the Compliance Department in project meetings with internal stakeholders and external vendors.
•Develop a comprehensive understanding of current Compliance and business acceptance processes and procedures, along with understanding the future aims of the department’s projects.
•Management of the development and maintenance of all Compliance systems (including Intapp) and various tools that are essential to the operations within Compliance (including WorldCheck, Orbis, Thirdfort and others) This will include regular cloud updates.
•Support Compliance team and senior management team with data extraction either direct from Intapp or via Microsoft Reporting Services, including analysis and presentation utilising ad-hoc reports, design and creation of new automated reports.
•Assist with analysing and validating data quality of existing and migrated data as part of the current system migration projects affecting various Compliance functions as well as reporting information on a more ongoing basis.
•Act as a Subject Matter Expert when assisting the Technology project team members with designing, reviewing and testing new system functionality.
•Monitor post implementation performance of new software or procedures, collecting feedback and assisting with troubleshooting and fixes.
•Assist with reviewing, maintaining and updating documentation, procedures, policies and guidance notes.
•Assist with training or producing training materials for users both within the Department and the firm.
•Provide guidance for any new functionality introduced in all systems
Skills and Experience :
•Minimum of 2 years' experience within a compliance/business acceptance function at a law firm.
•Extensive experience of using Intapp Intake and Conflicts and other Intapp products such as Terms and Walls for future projects
•Experience of Client Due Diligence and Anti- Money Laundering procedures, running conflict checks and other client onboarding activities.
•Ability to analyse, research and suggest informed, creative and innovative solutions.
•Excellent IT skills across the MS suite of programmes along with a keen interest and willingness to learn new computer packages, software and systems.
•Ability to interact with fee earners and support staff, building positive relationships and establishing yourself as a key member of both the team and the Firm.
•Prior participation in change / system improvement projects.
•Experience with using other law firms solutions such as iManage (preferrable, but not essential)
Person Specification :
•A confident and assertive communicator, with the ability to build good relationships with clients, partners, fee earners and business support staff
•Ability to train and develop others
•Strong written and verbal communication skills with the ability to deal with clients, partners, fee earners and support staff
•Conscientious and methodical with excellent attention to detail
•Highly organised and capable of managing conflicting priorities & deadlines
•Be able to work under pressure and manage conflicting priorities and deadlines in a high pressure environment
•Conscientious and methodical with excellent attention to detail.
•Educated to degree level is preferable.
Competencies :
•Working together
•Integrity and respect
•Inclusive
•Personal impact and growth
•Driving high standards
•Commercial mindset
•Client - centric
•Responsible Business
Hybrid working - We adopt a hybrid and flexible working approach, dependent on the requirements of the role and subject to manager approval.
For a detailed specification please download the job description in the documents section of this page.
Clicking 'apply' will direct you to the application tracking system, hosted for us by Reach-ATS.com.