Purpose of the role
To work within a Client and matter inception team, providing the firm with a central resource to ensure we fulfil our regulatory obligations and process all new client and matter inception requests with speed and accuracy.
- To play a key role in embedding new CMI processes, working practices and new practice management system, helping to anticipate and resolve problems and contribute to continuous process improvement.
- Liaising directly with clients to obtain information and documentation relating to set-up, anti- money laundering (AML) and billing.
- Anti-Money Laundering checks – verifying the identities of clients by conducting e-verification checks, using publicly available sources or obtaining and checking identity documents provided by clients. Taking responsibility for assessing the anti-money laundering (AML) information obtained and ensuring this meets the firm’s requirements, escalating as necessary.
- Customer due diligence – working to a standard matrix identifying company ownership and beneficial ownership structures e.g. Shareholders, management structures for corporate clients and politically exposed persons escalating as necessary.
- Conflicts of interest – extracting required data from documentation, conducting conflict checks, ensuring that results are accurately recorded and escalating any potential conflict issues in line with the firm’s policy and procedure.
- Credit Checks – conducting credit checks and ensuring that results are accurately recorded and any
- potential issues are escalated in line with the firm’s policy and procedure.
- Use of the firm’s systems to set up all new clients and matters, ensuring that all required data is captured and recorded, and the correct attributes are applied.
- Ensuring that any non-standard terms are captured and approved in line with the firm’s policy and procedure.
- Completing client and matter maintenance requests; ensuring the end to end process is completed, appropriate approvals are obtained, and any changes are accurately reflected in the practice management system.
- Providing all new clients with a copy of the firm’s welcome pack; ensuring each pack is personalised, of high quality and provides the client with an exceptional first impression.
- Ensuring all compliance documentation is uploaded to the appropriate systems to maintain an accurate audit trail of checks undertaken.
- Providing support on the client and matter inception process including liaising with lawyers and legal support where appropriate.
- Must be IT literate and have good keyboard skills
- Experience of document/case/practice management systems
- Experienced in the collation, validation and processing of large volumes of data
- Knowledge of compliance regulations would be advantageous
- Previous experience of working in a legal or professional services environment desirable
- Must possess an excellent telephone manner
- An effective communicator both verbal and in writing, with the ability to liaise with clients in a professional manner, striving to deliver exceptional service at all times
- Well organised and methodical with excellent attention to detail
- Effective at investigating issues and seeing a problem through to conclusion, using initiative and directing queries where appropriate
- Conscientious, taking personal responsibility for own work and accountability for its delivery and quality
- Excellent team player, sharing in team goals to provide excellent quality and efficiency of service, with a willingness to take on new responsibilities and challenges