Legal Compliance Assistant – On-Boarding

  • Guildford
  • Permanent
  • £28k - 30k per year

Legal Compliance Assistant

Location

Guildford / Wimbledon

Reports To

MLRO / Compliance Team

Overview

We are seeking a proactive and detail-oriented Legal Compliance Assistant to join our Compliance Team. This role is responsible for supporting the firm's regulatory obligations through the effective management of Client Due Diligence (CDD), Anti-Money Laundering (AML) compliance, client onboarding processes, and ongoing compliance monitoring.

The successful candidate will play a key role in ensuring the firm maintains the highest standards of regulatory compliance while delivering an excellent client onboarding experience. Working closely with the MLRO, COLP, COFA, and wider AML team, the Legal Compliance Assistant will help develop best practices, improve processes, and support the firm's commitment to compliance excellence.

Key Responsibilities

Client Due Diligence (CDD) & AML Compliance

  • Conduct comprehensive CDD and AML checks on new and existing clients to assess risk profiles.
  • Ensure client documentation and information are accurate, complete, and up to date.
  • Investigate and analyse client backgrounds, business activities, source of funds where appropriate, and ownership structures.
  • Identify, assess, and escalate high-risk or suspicious client profiles to the AML Compliance Team.
  • Monitor client activity and report unusual transactions or behaviours that may indicate potential money laundering, fraud, or other financial crime risks.
  • Implement and maintain AML policies, procedures, and controls in accordance with UK regulatory requirements.
  • Keep abreast of changes to AML legislation, guidance, and best practice, implementing necessary changes to onboarding and compliance processes.

Client Onboarding & Relationship Management

  • Support and enhance the firm's client onboarding procedures to ensure efficiency, compliance, and a positive client experience.
  • Work closely with colleagues to develop clearer, more robust onboarding processes.
  • Communicate CDD and AML requirements to clients clearly and professionally.
  • Guide clients through onboarding and verification procedures.
  • Respond promptly and effectively to client enquiries relating to compliance requirements.

Compliance Monitoring & Reporting

  • Maintain accurate and comprehensive records of all CDD, AML, and compliance activities.
  • Ensure compliance documentation is readily accessible for audits, inspections, and regulatory reporting.
  • Prepare compliance reports and management information for senior management and the AML team as required.
  • Promote good file management practices across the firm.
  • Support the implementation of compliance best practices in collaboration with the MLRO, COLP, COFA, and wider Compliance Team.

General Duties

  • Act in accordance with the firm's core values and professional standards at all times.
  • Demonstrate a positive, professional, and collaborative approach to work.
  • Undertake any other duties that may reasonably be required from time to time.
  • Work independently and manage workload effectively while contributing positively to team objectives.

Qualifications

Essential

  • Bachelor's degree or equivalent qualification.

Skills, Experience & Personal Attributes

Essential

  • Proven experience in client onboarding, CDD, and AML compliance within the legal services sector.
  • Strong understanding of UK AML regulations, compliance requirements, and best practices.
  • Excellent attention to detail and accuracy.
  • Strong analytical and investigative skills with the ability to identify and resolve complex issues.
  • Excellent client care and relationship management skills.
  • Professional, courteous, and effective communication skills, both written and verbal.
  • Strong organisational and time management abilities.
  • Ability to work independently and as part of a team.
  • Demonstrates a positive attitude and proactive approach.
  • Consistently adheres to regulatory and compliance procedures.
  • Demonstrates an understanding of and alignment with the firm's values.

Desirable

  • Previous experience using Practice Evolve or other legal practice management systems.
  • Familiarity with Practical Law and LexisNexis.
  • Experience working within a regulated legal environment and supporting regulatory audits or inspections.

Quality Standards

The successful candidate will:

  • Maintain the highest standards of compliance and regulatory awareness.
  • Deliver accurate, timely, and risk-based compliance assessments.
  • Ensure all client onboarding activities are completed efficiently and professionally.
  • Demonstrate exceptional attention to detail in all aspects of work.
  • Contribute positively to the continuous improvement of compliance processes and procedures.
  • Uphold the firm's values and commitment to excellent client service at all times
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