Legal Compliance Administrator

Legal Compliance Administration Assistant

To support our growing Compliance function within the business, we are looking for a highly motivated, diligent and detail-oriented Legal Compliance Administrator to join our team at Harper James.

Working closely with our Senior Compliance Manager and Client Onboarding Team, the successful candidate will play a pivotal role in maintaining our compliance record systems to ensure we meet all legal, regulatory and ethical requirements. This is an excellent opportunity for someone to learn about the world of Legal Compliance and take the first steps on a rewarding and exciting career.

About Harper James

Harper James is a national commercial law firm designed to support entrepreneurial businesses from start-up to exit. We aspire to disrupt the model for which legal services are provided to businesses. The firm’s innovative approach to delivering highly tailored and accessible legal advice is considered genuinely different to the establishment.

Harper James was founded in 2014 and continues to grow at c40%+ year on year. This financial year, more than 150 people will support more than 4,000 businesses and our turnover will exceed £14.5m. We expect to double in size over the next 2 years.

Key Skills and Experience

• Experience of working within a Legal or regulatory compliance administration role.
• Exceptional attention to detail and accuracy.
• Strong organisational skills and the ability to work under pressure and meet deadlines.
• Proficiency in Microsoft Office Suite (Word, Excel, Outlook) and experience using compliance and case management software.
• The ability to work on your own initiative, whilst drawing appropriately on the knowledge, experience and support of a close-knit team.
• Understanding of the necessity to maintain confidentiality and act with integrity.
• Internet-based research skills and the tenacity to find answers.

Key Responsibilities

• Managing the time sensitive file opening process including:
• Undertaking compliance checks on all new instructions;
• Liaising with lawyers and internal departments as necessary;
• Escalating complex matters appropriately; and
• Opening files within SLA timescales.
• Reviewing and recording changes and updates to clients’ circumstances.
• Maintaining accurate electronic filing of all compliance records including:
• Client Due Diligence
• Logs for complaints, conflicts, file reviews and breaches
• Email filing
• Conducting and recording research for Enhanced Due Diligence in accordance with policies and procedures.
• Providing ad hoc administrative support to the Compliance team.
• Primary responsibility for AML checks, including:
• Conducting client due diligence, ongoing monitoring of clients and transactions and vigilance in detecting suspicious activities;
• Identifying UBOs, parent companies, FCA regulated firms, High-Risk Third Countries, potential PEPs/sanctions and changes in company ownership;
• Contacting clients to request updated ID as required, and monitoring and chasing requested ID; and
• Maintaining records of all CDD undertaken.
• Carry out ‘second line of defence’ audits of new client onboarding process and ensuring correct ID has been requested and received.
• Monitor and manage the Compliance Inbox, providing ongoing assistance with compliance-related queries from Solicitors, Finance, BD and Client Services team, escalating where necessary.
• Support the firm’s data protection and SRA regulatory obligations by assisting with maintaining breach registers.
• Assisting Senior Compliance Manager with regular file audits.

What we can offer you

• £24-£28k depending on experience.
• 33 days holiday, including public holidays.
• Option to buy up to 5 holiday days a year.
• Private Healthcare
• Death in service benefit.
• Access to our electric car scheme.
• An opportunity to play an important part in the next phase of growth for a law firm leading innovation within legal services.
• An environment with no politics, no bureaucracy, working with a passionate, supportive and dedicated team who all play a fundamental part in the success and continued growth of the business.
• The role is fully remote with travel to the Birmingham office for regular meetings.

No Agencies Please