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Risk & Compliance Executive
3 days ago
Position - Risk and Compliance Executive
Location - Bishop’s Stortford
Salary - £35k - £45k
Overall Purpose
To assist the Partners, Risk and Compliance Team and the wider firm to adhere to regulatory requirements, legislation and best practice.
Main Tasks
- To ensure compliance with legal requirements and professional rules by the firm and its staff, working in conjunction with the firm’s
- Managing Partner (COLP)
- Head of Risk and Compliance
- Risk and Compliance Manager
- Money Laundering Reporting Officer (MLRO)
- Data Protection Officer (DPO)
- Head of HR, Finance and IT
- Complaints handling, to include liaising with clients and staff, investigating concerns and preparing written and oral responses
- Conducting regulatory and thematic file reviews and managing the firm’s central record in this regard
- Assisting with data protection compliance including the management of data subject access requests and review of data breaches
- Responding to day-to-day queries from staff on issues such as AML, sanctions, confidentiality, and conflicts of interest
- Reviewing and improving the firm’s policies, procedures and client facing information
- Updating the Risk and Compliance Team records, analysing data and producing reports where required
- Assisting with notification requirements under the firm’s professional indemnity insurance
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