Compliance Analyst

4 weeks ago

Manchester, United Kingdom Douglas Scott Legal Recruitment Full time


COMPLIANCE ANALYST
Manchester
Top100 Law firm

Are you looking for an opportunity to be an integral part of the risk & compliance team within a top100 leading law firm, with responsibility for a variety of tasks which support the firm’s risk management framework. This role is basedin the firm’s head office in th heart of Manchester, with occasional travel to offices in Liverpool and London.

RESPONSIBILITIES AND DUTIES

  • Complete procedural file reviews for all areas of the firm.
  • Monitoring and actioning SmartSearch alerts and reporting back to fee earners.
  • Handling risk & compliance queries from staff which come through to the central mailbox or via telephone.
  • Maintain the firm’s SRA records through mySRA, as well as practising certificates for solicitors and other lawyers.
  • Completing the firm’s bulking practising certificate renewal exercise.
  • Managing the new starter process for the team which involves collating regulatory questionnaires, liaising with other central teams, speaking with heads of departments regarding any file or client transfers.
  • Liaising with new starters to ensure their details are updated with the relevant regulatory board, and ensuring any relevant checks are carried out and training is completed.
  • Delivering risk & compliance induction sessions for all new starters, as well as other ad-hoc training for staff on risk issues.
  • Updating central registers, including the staff list and those registers relating to logging internal breaches.
  • Dealing with data protection for the firm, such as data breaches and subject access requests.
  • Monitoring logs through the Tessian dashboard and maintaining the watchlist; investigating any flagged alerts.
  • Assisting in preparation for external assessments, such as Lexcel and CQS.
  • Research regarding legal and regulatory changes affecting the firm.
  • Liaising with CST and reviewing referral agreements.
  • Supporting the risk & compliance team in a variety of day-to-day tasks.
DESIRABLE SKILLS AND KNOWLEDGE

  • Law degree or equivalent legal training.
  • Excellent attention to detail.
  • Strongorganisationalskills
  • Ability to work independently
If you have experience in a similar role and are keen to be considered, please send your CV to georgia@douglas-scott.co.uk #J-18808-Ljbffr

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