Compliance Assistant

About the role

The Compliance Assistant will support the firm’s Compliance team in conducting ongoing monitoring and client due‑diligence (CDD) activities. Working closely with legal, finance and research departments, you will help ensure that the firm complies with the UK Money Laundering Regulations and internal AML policies.

Key responsibilities

• Perform research on existing clients using public sources such as company registries, stock exchange sites, regulator portals and subscription databases.
• Liaise with lawyers, support staff and external teams to gather missing CDD information and answer client queries.
• Conduct risk‑rating reviews, update client risk levels and flag any adverse press, sanctions or PEP matches.
• Screen directors and shareholders for sanctions, criminal activity and influential‑person status, escalating serious findings to the General Counsel’s Office.
• Maintain and update CDD records in the 3E client database, documenting evidence and ensuring enhanced due‑diligence where required.
• Review and discount false‑positive alerts, or escalate genuine alerts to the appropriate fee earner.

Required profile

• Strong attention to detail and ability to work with large volumes of data.
• Excellent written and verbal communication skills for internal and client liaison.
• Ability to assess risk and make sound judgments based on regulatory guidance.
• Proactive attitude and willingness to support colleagues across multiple departments.

Required skills