Senior Analyst, Regulatory Affairs responsible for regulatory strategy and compliance within AES. Collaborating with various stakeholders to ensure RTO/ISO compliance and market strategies.
About the role
- Join Stone King’s Risk and Compliance Team in Bath as a Compliance Assistant. Engage in AML checks and matter closure while supporting compliance efforts with a hybrid work model.
Responsibilities
- **Key Responsibilities**
- General duties include, but are not limited to:
- Completing AML checks for every client, including new and existing clients. This will involve filling in the current opening form, completing AML risk assessments, choosing which sector and matter codes, contacting and obtaining ID from the clients, running all Smart Search reports and running all conflict checks.
- Be responsible for matter closure, this will include contacting Fee Earners with the help from Finance matter lists, clearing any unbilled WIP, clearing any residual funds on client account and returning client’s funds to clients.
- Help the Firm comply with the requirements under the SRA Code of Conduct.
- Clearing unbilled ‘WIP’ and small client account amounts.
- Ensure matters are closed in a timely manner and any outstanding comments/complaints have been dealt with by the Risk and Compliance Officer and Partner.
Requirements
- **Essential**
- Proficient IT skills
- Excellent communications skills (both written and oral).
- Strong interpersonal skills and ability to work individually or in a team.
- Adaptable and ability to work with stakeholders at all levels.
- Ability to work under pressure.
- Proactive and eagerness to learn.
- Organisational; and time management skills, previous experience of meeting deadlines in a timely manner.
- High attention to detail and commitment to contribute to improving working practices.
- **Desirable**
- Previous experience in similar role or legal sector.
Benefits
- Competitive salary
- Profit Share Scheme
- Cycle to work scheme
- Private Medical Insurance
- Life assurance (4 x salary)
- Pension scheme
- 28 days holiday (in addition to statutory UK holidays)
- Additional day allocated for CSR activities per annum
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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