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Client and Matter Inception Clerk - Nottinghamshire

Ref: 595 Date Posted: Tuesday 04 Jun 2019
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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.

Technical Skills

  • 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

Person Specification

  • 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
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