Conflicts and Compliance Team Leader

Profile

The Role
You will be responsible for assisting partners and other members of Clyde & Co, across the firm, with the new business inception process in line with internal service level agreements, legislation and regulatory requirements.
This will include conflict of interest searches for legal and commercial conflicts, anti-money laundering processes for new and existing clients, on-going client monitoring, sanctions checks and other risk management procedures.
You will be part of the global BAU Team, matrix reporting to the Global Head of BAU and Head of BAU, North America. This role also works closely with other senior stakeholders including other BAU Team Leads, the Compliance Officer for Legal Practice and General Counsel. The BAU Team consists of four Team Leaders who oversee a number of Conflicts and Compliance Analysts, Conflicts and Compliance Assistants and BAU Administrators. You will be working in a high octane environment which is often very time sensitive in nature. You will be required to be sensitive to cultural differences and be outcomes focused with strong communication skills who can manage relationships at senior levels across the organization.
Key Responsibilities
Delegations
Reviewing request submissions to understand how to appropriately resource work to comply with legislation and meet SLAs as efficiently as possible
Prioritizing requests submitted to BAU for completion by the team
Allocating work to the team
Monitoring and ensuring the team’s compliance with legislation (quality metrics) and service level agreements (timeliness metrics)
Escalations
Preparing and issuing daily status reports to assess the team’s adherence to service levels (e.g. speed of responses, quality of information, adherence to firm policy and procedure).
Participation in Daily Stand Ups with all Team Leads to communicate the team’s achievements, upcoming priorities and challenges in order to escalate appropriately
Ensuring that the team is following guidelines for escalation and delegation
Working with other senior members of the global BAU team to align resourcing to ensure SLAs are met.
General Management
Supervising the team on a day to day basis with clear direction.
Chairing team daily stand up meetings to understand achievements, upcoming priorities and challenges in order to escalate appropriately
Managing iterative improvements to processes across the department.
Identifying gaps in knowledge within the team and providing or arranging up skilling where required with structured training sessions.
Supervising, training and mentoring the BAU team members to develop areas of expertise.
Ensuring that team members develop key competencies across work streams
Assisting and supporting with performance management, training and ongoing development of the team, improving technical and soft skills, ensuring that each individual has the correct skills and competencies to perform their role.
Working with the Head of BAU (North America) and Global Head of BAU to maintain and improve the standards for the department.
Continually monitoring the performance of the department in line with the set standard for AML, Conflicts and Sanctions in a multi geographic environment.
Supervising the work flow around the BAU Team, ensuring conflicting deadlines are managed and work is prioritized effectively and efficiently.
Assisting in promoting the department to the wider firm by building relationships with key stakeholders.
Assisting and supporting all team members on achieving positive outcomes that can promote the department and influence key stakeholders.
Conflicts
Liaising with lawyers and Global Head of BAU to identify any potential legal or commercial conflicts of interest relating to new matters and clients across all practice areas of the firm, with the objective of: working together to resolve issues within the BAU team and communicating effectively with case-handlers;
ensuring, where permitted by applicable conflict and other professional rules, that the firm remains free to act in multiple roles and/ or on related matters when appropriate; and
reducing the firm's exposure to professional misconduct or loss of reputation by enforcing policy and procedure across the BAU team and encouraging best practice by case-handlers; and
Where appropriate, escalating complex and sensitive conflicts of interest issues to the Head of BAU in the first instance and Global Head of BAU or Risk Team.
Dealing with price sensitive information and other confidential information issues. Processing and analysis of share dealing requests and escalating potential issues to the Risk Partners and/or Risk Team.
Guiding the BAU team as to the appropriate and effective analysis of information in the firm’s conflict management systems.
Ensuring the maintenance of the conflicts database Intapp Open is current, accurate and complete.
Ensuring complete and orderly record-keeping of conflict checks by the BAU team.
Assisting in creating and maintaining library of know-how and other information for use by the BAU team.
Assisting the BAU management team with the creation and implementation of internal processes for compliance with new legislation, regulation and best practice, particularly in the areas of conflicts of interest and confidential information.
Assisting the BAU management team with training of current team on conflicts, confidentiality and related issues and providing appropriate induction training for new joiners.
Anti-Money Laundering
Acting as a point of escalation within the BAU Team, when a member of the Team identifies a high risk client that requires enhanced due diligence.
Assisting and supporting the firm's Money Laundering Reporting Officers in the performance of their statutory and other duties.
Assisting the Global Head of BAU and Risk Team with the creation and implementation of internal processes for compliance with new legislation, regulation and best practice, particularly in the areas of money laundering and sanctions.
Assisting the Global Head of BAU, MLROs and Risk Team with training of current BAU team on AML, sanctions and related issues and providing appropriate induction training for new joiners. Discussing and, where appropriate, escalating complex and sensitive AML and sanctions issues to the Global Head of BAU, MLROs, Risk Team or Risk Partners.
Compiling and updating registers of high risk clients and sub-registers e.g. of PEPs and reporting patterns, issues and anomalies to the MLROs and Risk Team.
Producing management information reporting on the firm's client demographic and key areas of risk; compiling other key MI relating to the team's work, as required.
Ensuring the complete, orderly and secure record-keeping of AML and other checks by the BAU team.
Creating and maintaining library of know-how and other information for use by the BAU team and others, including the MLROs.
BAU Service Level Agreement
During the full operational hours of BAU, all requests submitted are to be commenced within 24 hours of receipt
The Team Leader will assign requests to the appropriate BAU resource as soon as possible to ensure appropriate turnaround times.
The Team Leader will forecast effort required to process any in-flight requests in the queue daily and proactively identify where additional resource will be required to meet the SLAs
Statistics are reported daily by the Team Leader to the Head of BAU and BAU management together with the work allocation summary
The Team Leader is managing escalations appropriately (according to the Guidelines) to ensure that resources are not investing time beyond the approved limits
Where a Request cannot be completed within the approved effort guidelines, escalation occurs according to the escalation guidelines
Education
Degree or other relevant qualifications
Knowledge, Skills & Abilities
Knowledge of conflicts of interests rules in the USA and knowledge of case law on conflicts of interest (Desirable).
Knowledge of anti-money laundering legislation (Desirable).
Meticulous attention to detail.
Excellent communications and drafting skills.
Strategic thinker with commercial awareness.
Service orientated: Recognising internal and external clients and the importance of service delivery.
Ability to work as part of a team and using own initiative, manage own workload and adapt to changing priorities.
Adaptable to new systems, procedures and requirements of role.
Flexible approach: Willing to assist others in achieving team objectives.
Confident dealing with senior management and ensuring service levels are adhered to. Well-disciplined and self-motivated.
Ability to work well under pressure.
Confident and proactive approach.
Enthusiastic and positive attitude.
Experience
Experience working as a Team Leader or supervisory role
Experience using Elite Enterprise or similar management systems (Desirable).
-Principals Only-
We offer a rewarding work environment that supports professional growth and opportunities. We value diversity in our work place and it is the policy of the Firm to recruit, hire, promote, reassign, compensate and train highly qualified persons without regard to race, color, sex, sexual orientation, gender identity or expression, religion, national origin, age, disability or any other basis protected by applicable law.
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