Team Leader, Law​/Legal

The role holder will be one of three Team Leaders who will work together with the assistant manager and Team Manager in developing and leading the firm's Can I Act (CIA) Team, which sits in Risk & Compliance. The team deals with business acceptance (both compliance and conflicts clearance) and ongoing monitoring of the firm's business relationships, and supports the wider Risk & Compliance function on a number of strategic and critical business protection activities.

Reporting to the CIA manager, the role holder will have line management responsibilities supervising a mix of junior and senior analysts, as well as junior conflicts advisors.

The Team Leaders are responsible for triaging and allocating all work coming into the CIA Team, including conflict requests, new client inception, source of funds and third party payment queries, ad hoc requests for support and guidance from the business, together with wider strategic projects and initiatives in connection with the firm's risk and compliance management.

The primary responsibility is the management of the CIA team's involvement in business acceptance and ongoing monitoring procedures in the firm. The Team Leaders also work with the Team Manager and Head of AML and financial crime (FC) on wider compliance activities.

In addition, the role holder will provide advice and support to the firm, its partners, and employees on a varied and challenging workload of enquiries relating to business acceptance and ongoing monitoring across all work types and areas of the firm, including conflicts of interest, source of funds/wealth, client due diligence (CDD), other financial crime and sanctions matters.

This is a full time (35 hours p/w), permanent role, working hybridly from one of the following offices:
Bristol, Manchester, Birmingham, Glasgow or Edinburgh.

• Supervision of compliance analysts and junior conflicts advisors undertaking conflict of interest checks, client due diligence, client and matter risk assessments and other legal compliance functions all whilst ensuring adherence to relevant regulations and internal processes.
• Provision of ad hoc support to the wider team if needed, and acting as a point of contact for answering queries within the CIA Team as well as the broader business.
• Providing clear, accurate advice regarding CDD/KYC requirements, client and matter inception, source of funds/TPPs, and general AML queries. Likewise, this Team Leader will advise and support the team and the firm in relation to conflicts of interest, confidentiality and disclosure, and information barriers.
• Be able to interpret AML regulations, SRA/Law Society conflicts rules and internal policies to make risk based decisions when providing advice to members of the team and the firm.
• Assisting with development of the working practices of the team.
• To proactively monitor and allocate work across the team, working closely and collaboratively with the other Team Leaders, the Assistant Manager and Manager to ensure all work is actioned promptly and in accordance with SLAs.
• To conduct supervision meetings and appraisals for direct reports, and assist in managing and improving staff related issues, e.g. poor performance, sickness, absence levels.
• To elevate complex issues to the Team Manager or Head of AML and FC, including reputational matters where appropriate, with suggested proposals on the course of action.
• Working with key stakeholders including the wider Risk and Compliance group, the partners, and the firm to ensure that all aspects of the firm's business are conducted in compliance with the law, regulatory requirements, and firm policies. This includes monitoring the regulatory environment and planning changes to policy and process where required.
• To provide support on wider Risk and Compliance projects, participate in creation and delivery of training, updating guidance and forms for the team and the firm, and presenting to the firm as need be on any relevant topic.
• To build and maintain strong relationships across the firm, acting as a key point of contact in relation to business acceptance queries and leading communication across the business.
• Develop and produce reports for Head of AML and FC for different committees and audiences, together with production of monthly reporting on team productivity and trends.
• Working closely with the Head of AML and FC on reporting to the governance boards of the firm on regulatory requirements and firm policies.
• Working collaboratively with the Team…