Legal & Compliance Officer
1 week ago
Ensure the firm complies with all relevant statutory laws and regulations, internal policies and procedures.
Manage the firm's Lexcel Accreditation Audit
Ensure continual monitoring and review of compliance procedures to help identify possible areas where improvements can be made
Work with the Compliance Partner to develop internal policies and procedures, compliance training and protocols.
Keep up-to-date with regulatory developments and industry initiatives
Develop compliance checklists and compliance reports as and when required.
Design, develop and manage compliance checklists, reports and monitoring programmes.
Ensure compliance with best practices and undertake any other duties as required by the Management Team.
Prepare compliance documents for statutory, legal and regulatory purposes.
Work with management and staff to identify regulatory risks and design internal controls to ensure compliance within the firm.
Perform routine risk assessments to help the firm understand compliance risk, scope and significance.
Educating employees on compliance regulations and the impact of non-compliance on the firm.
Review marketing materials, websites and presentations (including new employee induction programmes) to ensure compliance with regulations.
Work with the management from other departments to ensure compliance and investigate irregularities
Contribute to robust and effective compliance controls within the firm.
Skills
Critical problem-solving skills and analytical skills
Attention to detail with the ability to interpret information rapidly.
Excellent verbal and written communication skills
Good interpersonal and conflict management skills
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