Risk and Compliance Assistant

Birmingham Office Based

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Harper James Solicitors is a growing, ambitious commercial law firm like no other. We have an exciting new opportunity for a Risk and Compliance Assistant to join our team in our Birmingham office.

Who we are

Harper James is designed specifically to support entrepreneurial businesses from start-up to scale-up and beyond.

Toby Harper, its founder and CEO, previously worked in-house for a well-known venture capital firm. During his time there, he saw first-hand the barriers growth businesses faced in accessing quality legal advice and decided something needed to be done.

Harper James aspires to disrupt the model for which legal services are provided to businesses. The Netflix of the legal world, the firm’s innovative approach to delivering highly tailored and accessible legal advice is considered genuinely different to the establishment.

Harper James is in its 8th year and hitting a £7m turnover. We have plans to triple this income by 2025 and getting in the right talent to support our growth is a key part of our strategy.

What do you need to bring to our team?

This is a fantastic opportunity for a Risk & Compliance Assistant with experience within the legal service sector in compliance, AML and risk assessments.

Key Responsibilities

  • Carry out CDD/AML/KYC checks for the onboarding of new clients and for new matter opening (checking ID is in date and that no changes in ownership structure of companies)
  • Identifying UBOs, parent companies, FCA regulated firms, overseas territories and potential PEPs/sanctions.
  • Contacting clients to request updated ID when ID has expired.
  • Carry out audits of new client onboarding process and ensuring correct ID has been requested and received.
  • Carry out risk assessments of new clients for AML.
  • Assist with sending out terms and conditions for new clients.
  • Assist with opening new matters and ensuring AML checks are in place.
  • Provide ongoing email and phone assistance with compliance-related queries from Solicitors, Finance, BD and Client Services team.
  • Sole responsibility for the upkeep and filing of AML records.
  • Carry out regular file audits and report any issues or discrepancies for further investigation
  • Assist with work required to bring the Practice Manual and associated processes/ policies up to date (with assistance from Risk and Compliance Manager, Operations Manager, COLP and COFA as required.)
  • Provide administrative assistance to the Risk and Compliance Manager to undertake audit/assessment of following areas: AML, data processing, file management, HJ practice manual and internal training records.

What can we offer you

  • The opportunity for you to be part of a fast growing business that is leading innovation in the legal service sector with accelerated professional development and growth opportunities.
  • A competitive salary and benefits.
  • Full time role. Office based in Birmingham.

Apply now

Ready to apply?

We’d like to start the process by inviting you to an informal chat with our Head of talent, Leah Horwood. Be assured that all conversations are confidential and we will act discreetly throughout the process. You can call Leah direct or arrange a convenient time to speak by emailing her.

Leah Horwood

Leah Horwood

Head of Talent

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Harper James by the numbers

Male to Female ratio
Talented lawyers
Years Average PQE
Average YoY growth for the last 3 years
Office Locations
Birmingham, Cambridge, London, Manchester, Oxford, Sheffield
Practice Areas
Business support staff
Our offices

A national law firm

A national law firm

Our commercial lawyers are based in or close to major cities across the UK, providing expert legal advice to clients both locally and nationally.

We mainly work remotely, so we can work with you wherever you are. But we can arrange face-to-face meeting at our offices or a location of your choosing.

Floor 5, Cavendish House, 39-41 Waterloo Street, Birmingham, B2 5PP
Stirling House, Cambridge Innovation Park, Denny End Road, Waterbeach, Cambridge, CB25 9QE
13th Floor, Piccadilly Plaza, Manchester, M1 4BT
10 Fitzroy Square, London, W1T 5HP
Harwell Innovation Centre, 173 Curie Avenue, Harwell, Oxfordshire, OX11 0QG
2-5 Velocity Tower, 1 St Mary’s Square, Sheffield, S1 4LP
A national law firm

To access legal support from just £125 per hour arrange your free no-obligation initial consultation to discuss your business requirements.

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