Team Leader

The role holder will be one of three Team Leaders who will work together with the assistant manager and Team Manager in developing and leading the firm's Can I Act (CIA) Team, which sits in Risk & Compliance. The team deals with business acceptance (both compliance and conflicts clearance) and ongoing monitoring of the firm's business relationships, and supports the wider Risk and Compliance function on a number of strategic and critical business protection activities.

Reporting to the CIA manager, the role holder will have line management responsibilities supervising a mix of junior and senior analysts, as well as junior conflicts advisors.

The Team Leaders are responsible for triaging and allocating all work coming into the CIA Team, including conflict requests, new client inception, source of funds and third party payment queries, ad hoc requests for support and guidance from the business, together with wider strategic projects and initiatives in connection with the firm's risk and compliance management.

The primary responsibility is the management of the CIA team's involvement in business acceptance and ongoing monitoring procedures in the firm. The Team Leaders also work with the Team Manager and Head of AML and financial crime (FC) on wider compliance activities.

In addition, the role holder will provide advice and support to the firm, its partners, and employees on a varied and challenging workload of enquiries relating to business acceptance and ongoing monitoring across all work types and areas of the firm, including conflicts of interest, source of funds/wealth, client due diligence (CDD), other financial crime and sanctions matters.

This is a full time (35 hours p/w), permanent role, working hybridly from one of the following offices: Bristol, Manchester, Birmingham, Glasgow or Edinburgh.

Your Role

• Supervision of compliance analysts and junior conflicts advisors undertaking conflict of interest checks, client due diligence, client and matter risk assessments and other legal compliance functions all whilst ensuring adherence to relevant regulations and internal processes.
• Provision of ad hoc support to the wider team if needed, and acting as a point of contact for answering queries within the CIA Team as well as the broader business.
• Providing clear, accurate advice regarding CDD/KYC requirements, client and matter inception, source of funds/TPPs, and general AML queries. Likewise, this Team Leader will advise and support the team and the firm in relation to conflicts of interest, confidentiality and disclosure, and information barriers.
• Be able to interpret AML regulations, SRA/Law Society conflicts rules and internal policies to make risk based decisions when providing advice to members of the team and the firm.
• Assisting with development of the working practices of the team.
• To proactively monitor and allocate work across the team, working closely and collaboratively with the other Team Leaders, the Assistant Manager and Manager to ensure all work is actioned promptly and in accordance with SLAs.
• To conduct supervision meetings and appraisals for direct reports, and assist in managing and improving staff related issues, e.g. poor performance, sickness, absence levels.
• To escalate complex issues to the Team Manager or Head of AML and FC, including reputational matters where appropriate, with suggested proposals on the course of action.
• Working with key stakeholders including the wider Risk and Compliance group, the partners, and the firm to ensure that all aspects of the firm's business are conducted in compliance with the law, regulatory requirements, and firm policies. This includes monitoring the regulatory environment and planning changes to policy and process where required.
• To provide support on wider Risk and Compliance projects, participate in creation and delivery of training, updating guidance and forms for the team and the firm, and presenting to the firm as need be on any relevant topic.
• To build and maintain strong relationships across the firm, acting as a key point of contact in relation to business acceptance queries and leading communication across the business.
• Develop and produce reports for Head of AML and FC for different committees and audiences, together with production of monthly reporting on team productivity and trends.
• Working closely with the Head of AML and FC on reporting to the governance boards of the firm on regulatory requirements and firm policies.
• Working collaboratively with the Team Manager and Head of AML and FC on training and promotion of best practice of compliance and conflicts procedures and policies across the firm.
• Promote a positive compliance and risk culture across all offices and functions.

Your Skills and Experience

• This role would suit someone with strong experience of dealing with conflicts of interest and AML regulatory issues who is currently a Team Leader in a compliance function at another law firm or an experienced senior analyst looking to make the move to a Team Leader role.
• A minimum of four years' technical and practical experience of legal conflicts of interest, commercial conflicts and a varied range of CDD within a law firm is preferred.
• People management/supervisory experience, or proven track record of mentoring and supporting junior team members.
• Demonstrate good technical knowledge on the SRA Code of Conduct, Law Society of Scotland and Law Society of Northern Ireland rules as they relate to conflicts of interest and the Money Laundering Regulations 2017.
• Strong reasoning skills and the ability to think laterally with a methodical approach to work and superb attention to detail.
• Excellent communication and interpersonal skills, with the ability to effectively collaborate and communicate with stakeholders at all levels, including the ability to calmly communicate and justify business acceptance decisions to partners, and handle challenging conversations.
• Demonstrate credibility to gain respect internally and, to the extent appropriate to the role, externally with people at all levels.
• Experience of delivering change and process improvements.
• Have an awareness of commercial issues and the commercial concerns of partners within the firm.
• A self starter, proactive and demonstrates ability to prioritise work and multitask effectively to meet deadlines and work to service level agreements.
• Ability to delegate confidently and effectively.
• Excellent collaborator and team player.

Your Team

The team, as part of the wider Risk and Compliance function, consists of 26 compliance professionals and is managed on a day to day basis by a Compliance Manager, supported by the Team Leaders. The Head of AML and FC is the strategic head of CIA and responsible for the teams operations.

TLT is known for the way we set new expectations and push the boundaries, but this can never compromise our firm, reputation or clients. The Risk and Compliance team are there to make sure we are compliant with all our obligations in areas such as Data Protection, SRA and FCA regulation as well as protecting our clients and people.

The Risk and Compliance team includes both experienced lawyers and technical specialists who address an extensive range of regulatory and ethical requirements, thinking both commercially and practically to make sure we remain compliant and true to our values.

About TLT

Fast paced, fast growing and forward thinking, TLT is the law firm that helps clients stay one step ahead, and we do the same for our people.

With local, national and international reach, we have over 1,800 people in offices across the UK and a network of partner firms across Europe, India and the US. Over the last few years TLT’s successful growth, delivery of high-quality work and support for colleagues has been consistently recognised by The Times and at the Legal Business, The Lawyer and British Legal Awards.

Our ambition is to create opportunities for what comes next for our clients, recognised as their 1st tier adviser and being valued for our values. We do this in our unique way by creating social value and a dynamic environment where our people are curious, creative and ambitious for their success.

In our open and collaborative culture, we encourage everyone to be their whole self, to have a voice and to contribute to the success of TLT.

Our Benefits

We value our employees highly and we want you to feel valued. You’ll receive a competitive salary with an annual pay review. You will also have access to an extensive range of benefits via our flexible benefits scheme including 25 days holiday (which will increase to 30 days based upon length of service) and private medical insurance.

At TLT we have a progressive fully flexible working approach. We empower our people to work in a place and at a time that meets their needs, those of their clients and of the wider team and firm. Part of this agile approach is a focus on hybrid working and supporting the work/life balance of our people. We’re happy to talk about how flexible working can work for you and this role.

TLT is committed to creating a diverse and inclusive working environment and encourages applications from all suitably qualified people, regardless of disability, race, gender identity, sexual orientation, or any other characteristics protected by the laws in the locations in which we operate.

We welcome applications from people with disabilities and are committed to providing reasonable adjustments, where necessary, to make interviews and jobs more accessible. Should you have any difficulty during the recruitment process, require any reasonable adjustments or an application to Access to work please contact the recruitment team on [email protected]