Conflicts Manager & MLRO

• May 2021 - Present

AML & Conflicts Manager, Deputy MLRO

• Jan 2019 - Present

Case & Conflicts Manager, Deputy MLRO

• Jul 2015 - Dec 2018

• Oversees Conflict Checking and Case Opening Procedures. Liaises with stakeholders to resolve potential conflict issues, manages case approval process.• Ensures compliance with post-matter inception requirements including the return of signed engagement letters and completion of Client Due Diligence (CDD) for new clients. Supports fee earners by undertaking CDD research and advising on due diligence information requirements. • Ensures on-going monitoring of High Risk issues. Ensures that sanctions, politically exposed persons (PEPs) and adverse media checks take place in respect of new clients, matters and 3rd party funders. • Oversees the implementation and maintenance of Information Barriers.• Provides training/support on compliance and risk issues, policies and procedures.

Case & Conflicts Analyst

• Mar 2014 - Jul 2015

• Responsible for the firm’s New Case, Client & Conflict Check Procedures.• Completing conflict checks (including PEP, Sanctions and adverse media checks) using internal and external databases.• Identifying conflicts of interest and other risk issues, liaising with Conflicts Committee and partners, coordinating responses and advising on resolution of conflicts where possible. • Overseeing new case opening, checking information on case opening forms, reviewing risk assessments and ensuring correct approvals are obtained, contacting Conflicts Committee for additional approval when required.• Ensuring that post-inception requirements are completed by fee earners, including obtaining signed retainer letters for all matters, CDD information for monthly billing departments and Consumer Contract requirements are fulfilled as required.• Overseeing information barrier procedures, identifying where barriers are required and liaising with IT, Conflicts Committee and partners to ensure barriers are set up and maintained correctly.• Developing guidance on AML and CTF.• Development and delivery of Compliance training.

Compliance Officer

• Oct 2010 - Feb 2014

Providing guidance and support to fee earners with all aspects of Compliance administration, including Customer Due Diligence (in accordance with the Anti-Money Laundering Regulations), Conflict Checks and other aspects of new client and matter inception. Daily use of databases, including Orbis, Mint, Osiris, Nexis, and World-Check for Conflict Checks, CDD, PEP and Sanctions monitoring and other research. Administration of client and matter records, Information Barriers, register of Terms and Conditions of Business and Engagement Letters and Dealing Checks. Regular monitoring of client information, Politically Exposed Persons and Economic Sanctions Lists. Responsible for Compliance training, including one-on-one induction sessions and training presentations to lawyers, trainee solicitors and new joiners. Ad-hoc research and projects, including monitoring of departmental peak busyness periods, the creation of in-house professional discipline directory, and an analysis of twitter as alternative source of current awareness. Management of Compliance Department’s Know How collection and provision of current awareness monitoring for department; monitoring a variety of sources for relevant developments, creation of a weekly departmental news bulletin and alerting compliance lawyers to breaking regulatory news.

Assistant Evidence & Information Manager

• May 2010 - Oct 2010

Department for Culture, Media and Sport: Assistant Evidence and Information Manager May - September 2010 Research and information delivery in response to in-house enquiries using open-source and subscription-based resources, including Factiva, physical collection and inter-library loans. Management of journal subscriptions: checking in/indexing on library management system, displaying new issues, Circulating email alert service to relevant users, liaison with journal suppliers. Management of hard-copy book collection and library archive including cataloguing and ad-hoc acquisitions. Organizing records/filing of departmental information.

Evening Library Assistant

• Sep 2009 - May 2010

Running enquiry desk: checking in/discharging items and dealing with student enquiries. Cataloguing new items and amending existing catalogue records on LMS, proving IT support. Supervising part-time student library assistants. Administration of reading lists, scanning and uploading material to institution's website. Running enquiry desk: checking in/discharging items and dealing with student enquiries. Cataloguing new items and amending existing catalogue records on LMS, proving IT support. Supervising part-time student library assistants. Administration of reading lists, scanning and uploading material to institution's website.

Graduate Trainee Librarian

• Sep 2008 - Aug 2009

Ad-hoc legal research for department's lawyers, providing case-law and legislation from library's collection or from online subscriptions and other sources including: Westlaw, Lawtel, Lexis-Nexis Butterworths, Casetrack, Justis, OPSI. Inter-library loans to and from departmental libraries and the British Library. Responsible for acquiring copies of court transcripts upon request from lawyers. Re-cataloguing serials on Unicorn library management system, re-organizing stock, producing comprehensive guide to library's physical and online periodical holdings.

ALT: Assistant language Tutor

• Aug 2008 - Aug 2009

English teaching. English teaching.