Senior Conflicts & Compliance Assistant

The Role

D epartment : Business Acceptance Unit

Location : Manchester

Role : Senior Conflict and Compliance Assistant

The Role

The Senior Conflicts & Compliance Assistants sits within the Business Acceptance Unit and are responsible for running conflict checks for the casualty business which includes services across multiple offices. The role sits with other Conflicts & Compliance Assistants and the Senior Conflicts & Compliance Assistants are required to act as an escalation point for junior team members and to provide training and mentoring as required.

The role also involves conducting ad-hoc sanction checks across the firm's database.

The volume business comprises of Legacy Clyde & Co and Legacy BLM. These are inputted via the Client Admin Team and CMI team, who then pass through the file for conflict checks by our Conflict & Compliance Assistants.

Key Responsibilities

Conflicts

• Reviewing client and matter forms ensuring satisfactory details are provided by the Case Handlers and querying instances where information is either incomplete or unclear, Due to the high volume, a quick turnaround time is essential to identify any potential conflicts at the outset and to adhere to current SLA requirements.

• Analysing the new matter to determine the risks associated with the instruction.

• Conduct conflict checks using the firm's conflict database paying close attention to sensitive entries in the firm's Black Book database.

• Analyse conflict search results and liaise with Partners/ Case Handlers on the matters that may present a legal or commercial conflict. Obtaining relevant information on the matter, if required, in order to assess whether a conflict or potential conflict is present.

• Escalating conflict issues to the Conflicts and Compliance Team Leaders as required, with clear analysis of the conflict and the conclusions reached so far.

• Proactively following up when seeking information or conflict resolution from other stake holders around the firm.

• Maintaining and updating the conflict search database as key information becomes apparent on existing matters.

• Assisting in the research and implementation of information barriers by working with the Risk Team as matters are created, always safeguarding confidentiality for the involved teams.

• Supporting the high-volume business on matter inception, ensuring that conflict checks are carried out in a timely manner.

• Recording all conflict research, communication with stake holders and analysis and conclusion of the conflict resolution in the firm's client and matter inception software, for the purposes of compliance and auditing.

• Assist with the development of existing and new team members

• Act as an escalation point to junior team members by providing clear and constructive advice with regards to technical knowledge.

• To assist with and provide support to Team Leaders in training new team members.

Compliance

• Maintaining technical knowledge, expertise and know how on the nature of the work each department undertakes in the Firm, conflicts and sanctions.

• Screening all clients and matters for sanctions and escalating any adverse findings to the Risk Team and Sanctions Partners.

• Carrying out the conflict checking process for lateral hires.

• Supporting junior members of the BAU Team on queries and training.

• Answering queries from Case Handlers and escalating urgent queries to the appropriate individual within the department.

• Assisting on the execution of projects as and when they arise.

Essential Skills & Experience

• Strong MS Office.

• Meticulous attention to detail.

• Strong customer focus.

• Excellent communications skills.

• Strong spelling and grammar skills.

• Degree or other relevant qualifications (Desirable).

• Experience using Elite Enterprise or similar management systems (Desirable).

• Strategic thinker with commercial awareness.

• Service orientated: Recognising internal and external clients and the importance of service delivery.

• Ability to work as part of a team and using own initiative, manage own workload and adapt to changing priorities.

• Adaptable to new systems, procedures and requirements of role.

• Flexible approach: Willing to assist others in achieving team objectives.

• Confident dealing with senior management and ensuring service levels are adhered to. Well-disciplined and self-motivated.

• Ability to work well under pressure.

• Confident and proactive approach.

• Enthusiastic and positive attitude.

Our Values

Our values are the principles that guide the decisions we make, unite us in our endeavours and strengthen our delivery, for our clients and our firm. We:

• Work as one We are a globally connected team of talented people who act with a firm-first mentality to achieve success
• Excel with clients We aim high and challenge ourselves to deliver unique excellence for our clients, keeping them at the centre of everything we do
• Celebrate difference We help each other to be at our best and believe our differences result in greater achievement
• Act boldly We seek new opportunities, take action and learn as we go, recognising that curiosity drives our development and contributes to growth

Business Services Competencies

Clyde & Co is committed to providing extensive, personal and professional development opportunities for our people enabling them to be highly effective in their current role as well as assisting them to fulfil their career aspirations.

The competencies are used to inform all aspects of Business Services career development. They vary across levels and different business areas and fall under the following areas:

• Technical Excellence
• People and Team
• Client/Stakeholder Relationships
• Service Delivery and Commercial Awareness
• Personal Effectiveness

This is the job description as constituted at present; however the Firm reserves the right to reasonably amend it in accordance with the changing needs of the business.

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