Compliance & Risk Advisor - Southampton

1 month ago


Southampton, United Kingdom Jameson Legal Full time

This is an excellent opportunity for a compliance professional with a broad range of skills to take on an advisory position at a national law firm’s office in Southampton, UK. As an advisor, you will be responsible for assessing and managing various risks, as well as guiding the firm on actions that need to be taken. A significant part of your role will focus on regulatory compliance, where you will work closely with the Director of Risk & Compliance as a trusted advisor, assessing any changes and ensuring that the firm is fully compliant with all relevant regulations.

Job Responsibilities:

  • Bea primary reference point on compliance and related risk queriesincluding on the Codes of Conduct (including client care, conflicts, confidentiality and information barriers), financial crime (particularly anti-bribery, and AML including sanctions and high-risk third country due diligence), limiting liability, supervision,auditand file review.
  • Responsible for the maintenance of the firm’s regulatory breach register and advising on responses and remedial actions following any breaches.
  • Assisting with implementing and the effective operation of business acceptance/file-opening systems including electronic PEP and sanctions searches.
  • Drafting, amending, implementing and ensuring consistent adherence to the firm’s risk and compliance policies and procedures.
  • Taking a lead role in conducting internal file and supervisory audits, including reporting and any follow-up.

Key Experience:

  • Experience dealing with SRA regulation is essential.
  • England and Wales solicitor qualification is beneficial.
#J-18808-Ljbffr
  • Retail Sales Advisor

    1 month ago


    Southampton, United Kingdom Switch Advisor Ltd Full time

    *** Switch Advisor Ltd is looking for a Retail Advisor to join our team in Southampton. The Retail Advisor will be responsible for selling products, merchandise, and services in a retail setting, working closely with the Store Manager and other staff to provide excellent customer service and support the overall store environment. **RESPONSIBILITIES** -...


  • Southampton, United Kingdom Switch Advisor Consultants Full time

    **About us** Switch Advisor Consultants is a small business in Southampton. We are professional, fast-paced and social. Our work environment includes: - Modern office setting - Growth opportunities - Casual work attire - Regular social events **Responsibilities**: - Respond to customer inquiries and complaints in a timely and professional manner. -...

  • Customer Care Advisor

    3 weeks ago


    Southampton, United Kingdom Prestige Recruitment Group Full time

    Customer Care Advisor - Southampton Customer Service Advisor role in a successful Medical Devices company. This is a great opportunity for an experienced Customer Service Advisor to join a flourishing business. This is a temp to perm position, with full training provided in Liverpool for 2 weeks, on being successful for the permanent role. As part of...

  • Customer Care Advisor

    2 weeks ago


    Southampton, United Kingdom Prestige Recruitment Group Full time

    Customer Care Advisor - SouthamptonCustomer Service Advisor role in a successful Medical Devices company. This is a great opportunity for an experienced Customer Service Advisor to join a flourishing business.This is a temp to perm position, with full training provided in Liverpool for 2 weeks, on being successful for the permanent role.As part of the...

  • Customer Care Advisor

    4 weeks ago


    Southampton, United Kingdom Prestige Recruitment Group Full time

    Customer Care Advisor - SouthamptonCustomer Service Advisor role in a successful Medical Devices company. This is a great opportunity for an experienced Customer Service Advisor to join a flourishing business.This is a temp to perm position, with full training provided in Liverpool for 2 weeks, on being successful for the permanent role.As part of the...

  • Customer Care Advisor

    3 weeks ago


    Southampton, United Kingdom Prestige Recruitment Group Full time

    Customer Care Advisor - SouthamptonCustomer Service Advisor role in a successful Medical Devices company. This is a great opportunity for an experienced Customer Service Advisor to join a flourishing business.This is a temp to perm position, with full training provided in Liverpool for 2 weeks, on being successful for the permanent role.As part of the...

  • Senior Risk

    1 month ago


    Southampton, United Kingdom Chadwick Nott Full time

    Risk and Compliance Lawyer A leading law firm is looking for a Risk & Compliance Senior Associate Lawyer based in their Southampton office, on a hybrid basis. The successful candidate will be carrying out a range of data protection work in a commercial environment , assisting in the delivery of the firm's data strategy. The focus on risk...


  • Southampton, United Kingdom UNIVERSITY OF SOUTHAMPTON Full time

    Office of the Academic Registrar Location:  Highfield Campus Salary:   £44,263 to £56,021 Per annum Full Time Permanent Closing Date:  Thursday 16 May 2024 Interview Date:     To be confirmed Reference:  2390523FG-R About the role: You will support the Academic Registrar to manage and co-ordinate compliance with the Office for Students...


  • Southampton, United Kingdom Age Concern Hampshire Full time

    Who we are Age Concern Hampshire provides a number of high-quality services that support older people in Hampshire. These include the provision of Day Care Centres, assisting NHS patients with Hospital to Home Services, provision of Information Services and the recently launched Help in the Home Service. We have around 100 employees and 60 volunteers with a...


  • Southampton, United Kingdom Broadgate Full time

    Assistant Manager, Risk Assurance & Compliance Southampton (Hybrid) Salary: £50-60k In a role that intersects across Compliance, Risk and Financial Crime, this is an opportunity for tremendous exposure amongst the most Senior individuals (Director of Compliance, MLRO) in the implementation of Risk Assurance activities. Includes... Driving the...

  • Customer Care Advisor

    3 weeks ago


    Southampton, United Kingdom Prestige Recruitment Group Full time

    Customer Care Advisor - Southampton Customer Service Advisor role in a successful Medical Devices company. This is a great opportunity for an experienced Customer Service Advisor to join a flourishing business. This is a temp to perm position, with full training provided in Liverpool for 2 weeks, on being successful for the permanent role. As part of...


  • Southampton, Southampton, United Kingdom UNIVERSITY OF SOUTHAMPTON Full time

    Office of the Academic RegistrarLocation: Highfield CampusSalary: £44,263 to £56,021 Per annumFull Time PermanentClosing Date: Thursday 16 May 2024Interview Date: To be confirmedReference: FG-RAbout the role:You will support the Academic Registrar to manage and co-ordinate compliance with the Office for Students Conditions of Registration by monitoring...


  • Southampton, United Kingdom University Hospital Southampton NHS Foundation Trust Full time

    Are you passionate about ensuring estates compliance in a healthcare environment? Do you possess the expertise to influence and drive continuous improvement within one of the largest NHS teaching hospitals in the country? If so, we would like to talk to you about the exciting opportunity to join our team as Estates Compliance Support Manager at UHS. As...


  • Southampton, United Kingdom Advantage Resourcing Full time

    AML Investigator - Southampton £200 per day My Client in Southampton is seeking to appoint a temporary Analyst to join their busy Fraud & AML Team to provide support on a suspicious activity report (SAR) remediation project. This is an excellent opportunity to join an innovative and fast growing business in a three month role where you will be required to...


  • Southampton, United Kingdom University of Southampton Full time

    2390523FG-R About the role:You will support the Academic Registrar to manage and co-ordinate compliance with the Office for Students Conditions of Registration by monitoring compliance with each of the conditions and working closely with stakeholders to identify risk and manage mitigation strategies.You will play a key role in the successful operation and...

  • Student Visa

    13 hours ago


    Southampton, United Kingdom University of Southampton Full time

    **2234523NP** **The role** The Visa & Immigration Student Advice Service (VISAS Team) is growing and we’re looking to recruit a Student Visa and Immigration Advisor to join the team. The Visa and Immigration Student Advice Service provides visa advice on matters regarding UK Student visas to applicants and students; and activities related to sponsor...


  • Southampton, United Kingdom Pertemps Network Group Full time

    **Customer Service Advisor**: - 012103676**£25,000 Per Annum** - Full Time**Permanent** **Southampton, Hampshire** **Customer Service And Call Centre** **Job Description**: - Customer Service Advisor - £25,000p/a - Southampton - 40 per week, split over shifts covering evenings and weekends. - The role of the Customer Sales Advisor is to ensure...


  • Southampton, United Kingdom Switch Advisor Consultants Full time

    **About us** Switch Advisor Consultants is a small business in Southampton. We are professional, fast-paced and social. Our work environment includes: - Modern office setting - Growth opportunities - Casual work attire - Regular social events **Responsibilities**: - Respond to customer inquiries and complaints in a timely and professional manner. -...

  • M&A Tax Assistant

    7 hours ago


    Southampton, United Kingdom Pro-Tax Recruitment Full time

    Tax Manager - Mergers & Acquisitions Southampton Due to continuing growth, I am searching for a driven Tax Manager to join a well-renowned firm in their Southampton office within their M&A division. This is an excellent opportunity which offers hybrid working and competitive salary & benefits, whilst working within an exceptional team. Your Role as Tax...

  • Team Leader

    14 hours ago


    Southampton, United Kingdom Switch Advisor Ltd Full time

    **Team Leader** **Switch Advisor Ltd** is seeking a Team Leader to join our team in Southampton. **Duties and Responsibilities**: - Assist in the training of new employees and coaching teams to ensure quality service is provided. - Assist in the training of current employees and assisting them in learning all aspects of their job. - Provide clear...