Aml & Conflict Team Leader

You will provide guidance and support to the CMI analysts, the business, and clients in respect of the inception and ongoing monitoring process, promoting awareness and understanding across the business.

The successful candidate will need to be self-starting, with the ability to drive continual improvement and quality assurance in respect of client/matter inception and ongoing monitoring. The aim is for complete customer satisfaction with the service provided.

You will be responsible for overseeing the delivery of discrete technical, audit and training projects in respect of CMI, and dealing with technical queries in respect of KYC and Conflicts of Interest, as may be required from time to time.

• Support the CMI Manager to enable the business to manage CMI workflow effectively.
• Provide constructive support to the business in respect of AML, CDD and conflicts analysis and act as a point of contact to ensure collaborative and constructive working between CMI teams and client facing business functions.
• Keep up to date with legal and regulatory obligations in respect of AML/ client due diligence and conflict considerations.
• Escalate issues you cannot resolve to CMI Manager / Audit function / Risk & Compliance / MLRO, as appropriate.
• Achieve and promote high quality standards and controls, ensuring consistency and appropriate record keeping.
• Understand our CMI policies, controls, and procedures, and ensure consistent application.
• Identify areas for improvement and promote technical knowledge, competencies, and engagement skills within the business.
• Proactively build and develop relationships with other functions to ensure effective sharing of knowledge and promote collaborative working.
• Cascade technical knowledge and feedback, contribute to bulletins, lessons learnt and knowledge feedback loops to support continuous improvement and best practice.
• Support Risk & Compliance and Learning & Development to provide training to the business and undertake liaison activities, acting as a credible ambassador for CMI activity within Gateley.
• Ensure clear and accurate audit trails are maintained to demonstrate steps taken and to evidence our decision making.
• Undertake regular audit reviews of onboarding and provide comprehensive reports.
• Draft communications to the business, using your own initiative (with support from Risk & Compliance).
• Assist CMI Manager as and when required, covering for periods of absence.
• Support the Gateley-wide appraisal and promotion process and assist with the induction of CMI team staff as and when required.
• Maintain confidentiality in respect of our business, our clients and our work.

The Team

As providers of professional services, it is fundamental that we behave in such a way that our clients and the public trust us. Our compliance with the law, regulations, industry guidance and best practice underpins this and is therefore critical. The responsibility for risk management and compliance in our business is shared by everyone, but we don’t expect our people to manage this alone. We have a dedicated risk and compliance team to support our people and provide guidance on risk and compliance related matters.

Candidates must be able to demonstrate the following:

• Educated to degree level or equivalent or having substantial relevant experience.
• Strong communication skills, both written and face to face.
• In depth technical knowledge of legal and regulatory requirements in respect of AML, client due diligence, conflicts of interest and CMI best practice.
• Experience of leading a large, developing team.
• Experience of working in a law firm or similar regulated environment.
• Experience of onboarding clients using Intapp.
• Experience of drafting and rolling out policies for internal application.
• Experience of preparing and delivering training, both one to one and for large groups.

This job description is not an exhaustive list due to the requirements of the role. Therefore, the job holder may be required from time to time to carry out other ad hoc tasks as requested by Risk & Compliance.