compliance manager – compliance exp

1 week ago

Colchester, Essex, United Kingdom Compliance Recruitment Solutions Full time

COMPLIANCE MANAGER – COMPLIANCE EXP (ANY SECTOR) OR CLIENT SERVICES/OPERATIONS EXP (FINANCIAL OR PROFESSIONAL SERVICES) REQUIRED

4031D

£45K -£50K + Benefits

Colchester

Our client, a leading legal services firm, is recruiting a Compliance Manager to support the Head of Client Services and Compliance to monitor, manage, review, advise and report on compliance and/or risk-related issues across the firm. Detailed duties include;

  • Helping to implement, maintain and operate effective policies, controls and procedures for managing the firm's exposure to risk and regulatory compliance
  • Participating in Risk & Compliance and other firm-wide projects, initiatives and developments as required
  • Assist with the management and administration of the firm's quality accreditations, including Internal audit and on-going administration of the firm's Quality Management System to satisfy ISO 9001 accreditation
  • Maintenance of the firm's Law Society Lexcel and CQS accreditations
  • Assisting with the maintenance and development of the firm's risk assessments and registers
  • Ensuring compliance by the firm and senior management with the SRA Authorisation Rules
  • Advising the firm on and maintaining the firm's policy and procedures for screening new and existing Directors and Employees
  • Reviewing and ensuring the firm complies with the SRA Transparency Rules
  • The administration and maintenance of the firm's Lender Panel Memberships and other third party organisations such as HMCTS
  • Keeping up to date with professional, legal and best practice developments in legal service provision, regulatory compliance and risk management
  • Helping to identify risk and compliance issues that require follow-up or investigation
  • Helping to manage the firm's programme of legal supply chain management, including assisting with the administration and completion of client and supplier due diligence requirements as necessary

The role may suit an experienced Compliance officer from Financial Services or similar Professional Services, or else someone with a Financial Services (or Professional Services) Operations background, especially as promotion to Head of Client Services and Compliance possible in the medium term (and full training will be given in Solicitors Regulatory Authority, relevant AML and GDPR requirements). NB the role is fully office-based but within easy reach of the main train station.

So, if that sounds like you, then please send your details to our MD, David Symes FCA at (including address or post code and a contact no ) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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