AML Compliance Assistant

5 days ago

Kingston upon Thames Greater London, United Kingdom QED Legal Full time

Compliance Assistant
Are you detail-oriented, organized, and passionate about maintaining high standards of compliance? We’re seeking a Compliance Assistant to support the Compliance Officer for Legal Practice (COLP) in enhancing the firm’s compliance framework. This role offers the opportunity to play a key part in file audits, risk management, and preparation for key accreditations such as Lexcel, ISO 9001, and the Conveyancing Quality Scheme (CQS).
This is a fantastic opportunity to join a forward-thinking organization committed to operational excellence and continuous improvement. You’ll contribute directly to ensuring the firm’s policies, procedures, and standards meet regulatory and accreditation requirements.

The Role
As a Compliance Assistant , you will work closely with the COLP to ensure adherence to regulatory frameworks and accreditation standards. Your focus will be on audits, quality assurance, and supporting the preparation for external assessments.
Your responsibilities will include:
File Audits and Quality Assurance:
Conduct regular file reviews to ensure compliance with legal, regulatory, and procedural standards.
Identify risks or breaches and propose corrective actions.
Maintain records of audit findings, track resolutions, and report to the COLP.
Develop systems to monitor compliance with Lexcel, ISO 9001, and CQS standards.
Accreditation Preparation:
Support the preparation for Lexcel reaccreditation, ISO 9001 audits, and CQS compliance assessments.
Assist in reviewing and updating policies and procedures to align with accreditation standards.
Coordinate internal audits and provide administrative support for external assessments.
Policy and Procedure Management:
Maintain and update the firm’s Office Manual, ensuring all workflows are current and compliant.
Reporting and Record-Keeping:
Prepare compliance reports for senior leadership.
Maintain comprehensive records of compliance activities, including audit logs and risk assessments.

What We’re Looking For

Skills and Competencies:
A solid understanding of Lexcel standards, ISO 9001 quality management systems, and CQS requirements.
Strong analytical skills with attention to detail, particularly in conducting audits.
Excellent organizational and time-management skills to handle multiple tasks and deadlines.
Strong written and verbal communication skills for preparing reports and liaising with internal teams and external assessors.
Familiarity with SRA Standards, AML, and GDPR regulations.
Experience:
Previous experience in a compliance or risk management role, ideally within a law firm.
Hands-on experience with file audits and preparing for accreditation assessments such as Lexcel, ISO 9001, or CQS.
Proficiency in legal practice management systems and compliance tools is desirable.
Advanced IT skills, including proficiency in Microsoft Office.
What’s in it for you?
A collaborative and supportive work environment.
Progression opportunities
Hybrid working policy 
Great company Benefits
The opportunity to develop your skills and expertise in a key compliance role.
A chance to contribute to the firm’s success in achieving and maintaining industry-leading accreditations.
Interested? Apply below for a confidential conversation.

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