Client Intake and Compliance Officer

The role sits at the intersection of legal practice, compliance, and operations, playing a key role in strengthening the firm’s governance and client relationships, and supporting growth. The role requires daily client and staff interaction.....

Reports to: Project Manager

Position type: Preferably full-time but would consider part-time

Hours: Negotiable

Location: Melbourne or Sydney, with flexibility to regularly work from home

Job description

Prolegis Lawyers provides legal services exclusively to charities, not-for-profits and philanthropic organisations. We have offices in Sydney and Melbourne and work as one team. Learn more about Prolegis and our work by visiting our website www.prolegis.com.au.

We are looking for someone who wants to develop into a trusted compliance professional and who is motivated by improving systems, supporting lawyers and helping the firm meet its legal and regulatory obligations and deliver high-quality client outcomes.

The role sits at the intersection of legal practice, compliance, and operations, playing a key role in strengthening the firm’s governance and client relationships, and supporting growth. The role requires daily client and staff interaction.

Position objective

The Client Intake and Compliance Officer role provides support through:

• Delivering the client onboarding service, including AML/CTF due diligence and conflict checks and assisting in setting up initial meetings, supporting both legal staff and clients
• Enhancing the firm’s compliance framework, including Anti-Money Laundering and Counter Terrorism Financing (AML/CTF), client confidentiality, privacy and other internal risk management processes
• Assisting in the delivery of legal services by improving systems, workflows and operational discipline across matters
• Enabling lawyers to focus on client work and strategic priorities by reducing administrative load and managing regulatory processes
• Driving continuous improvement, including identifying and implementing best practice in legal operations, compliance systems and risk management
• Supporting the firm’s implementation of AML/CTF processes, including contributing to the design, implementation and review of fit for purpose compliance processes.

Position responsibilities

Corporate values and culture

• Demonstrate Prolegis values: one team, genuine care, commitment to excellence and humble leadership.

Client onboarding

• Manage the onboarding process for new clients and matters across the firm
• Co-ordinate workflow, including instructing other administrative and paralegal staff as needed.
• Obtain required onboarding information and documentation from clients
• Conduct and assess conflict of interest searches and prepare conflict assessment reports as required
• Ensure compliance with trust account, billing and client acceptance procedures
• Monitor outstanding onboarding requirements and follow up with clients as necessary
• Maintain accurate client and matter records
• Apply a risk-based approach to client onboarding, including identifying higher risk matters and escalating where appropriate

Compliance and risk management

• Implement and maintain the firm’s client due diligence framework, including AML/CTF and conflict checking
• Support the ongoing development and implementation of the firm’s client due diligence framework, including AML/CTF, risk assessment and monitoring processes
• Using established software systems, conduct client due diligence, enhanced due diligence and ongoing monitoring activities
• Support internal training and awareness on compliance obligations
• Co-ordinate incident reporting, escalation and response processes
• Maintain compliance records and assist with reporting.

Legal operations and process improvement

• Design and implement efficient workflows across matter management, onboarding and internal approvals
• Identify opportunities to improve systems, automation, and use of technology, including Artificial Intelligence
• Support document management, knowledge systems and internal templates
• Work with leadership to embed consistent processes across teams
• Contribute to the development of scalable onboarding and compliance processes aligned with the firm’s growth
• Other duties as directed to assist in the delivery of high-quality client service.

Business relationships

• Engage with clients daily
• Work closely with partners, lawyers, paralegals and administration staff to support priorities and resolve issues
• Act as key internal contact for compliance and operational queries
• Engage with external providers (platforms, IT providers) where required

Personal requirements

Capabilities

• Excellent communication and stakeholder management skills
• High level organisation skills and attention to detail
• Ability to work independently and manage competing priorities
• Proactive approach to problem solving and continuous improvement.

Knowledge/qualifications/ experience

• Experience in a legal, compliance or professional services environment is highly regarded, but not essential
• Training and ongoing support will be provided to develop the required knowledge and capability in compliance, AML/CTF and legal operations frameworks.

Technology Capabilities

• Strong proficiency in Microsoft Outlook, Teams, Excel, Word
• Confidence working with digital platforms and identifying opportunities for automation.

Benefits

• Monthly phone allowance
• Monthly team lunches
• Employee Assistance Program (EAP) for health and well-being, career coaching, and financial advice.

What our people say

• ‘There are amazing opportunities to work with outstanding clients throughout the charities and not-for-profit sector.’
• ‘Everyone is extremely friendly and invested in supporting each another, both personally and professionally.’

If that sounds like you, we’d like to hear from you.