Compliance Officer
1 month ago
We are currently seeking to recruit an experienced and determined professional to join the Firm as Compliance Officer.
Reporting to the Risk & Compliance Manager, this role is responsible for supporting with the execution and continuous improvement of the Compliance Function to ensure effective risk management, as well as compliance with regulatory requirements and internal policies, processes, and procedures, across the business.
Job Responsibilities:
- Supporting the business with client due diligence (CDD) / know your client (KYC) to ensure compliance with Money Laundering Regulations and internal control documents
- Supporting the business with file management to ensure files are opened, maintained, supervised, and closed in line with legal practice standards and internal control documents
- Assisting the Risk and Compliance Manager with risk management within the business to ensure risks are effectively identified, mitigated, and monitored as far as possible
- Assisting with the undertaking and evaluating of audits within the business to ensure compliance with regulatory requirements and internal control documents, and to provide assurance of such to Approved Persons as required
- Handling complaints and/or internal incidents in accordance with regulatory requirements and internal control documents, to ensure timely resolution and to reduce reputational risk to the business
- Responding to requests for information to ensure transparency and accountability, and to provide assurance of the business’s management of risk and compliance with relevant regulatory requirements
- Responding to internal compliance queries and escalating matters where required to the Risk and Compliance Manager, Practice Director and/or relevant Regulatory Role Holder, as appropriate to ensure issues are addressed and compliance is effectively undertaken by the business.
- Supporting with compliance training to ensure material is up-to-date and relevant and the business has an awareness and understanding of relevant legislation, regulation, best practice standards and internal controls to be able to effectively comply
- Contributing to the overall administration of the shared mailbox and workspaces for the Compliance Team to ensure efficiency of the team.
- Officers may also be required to take a lead in an area of compliance,
Person Specification:
- Working in a risk or compliance role and/or regulatory environment , ideally within the legal sector or a regulated industry
- Sound understanding of relevant regulations and legislations, in particular SRA/FCA rules, AML, and data protection
- Strong organisational and communication skills
- Applying legislation, regulation and/or best practice standards
- Assessing and monitoring risks, including maintaining a risk register
- Undertaking audits and implementing continuous improvement
- Drafting reports and communications
Benefits:
We offer a competitive salary and excellent benefits package, including 25 days annual leave (rising to 30 days), hybrid working, pension, bonus scheme, training and development, private medical insurance, life assurance, healthcare scheme, subsidised gym membership, on-site restaurant, and an active social committee.
We are a 2024 Circle Back Initiative Employer – we commit to respond to every applicant
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