Compliance Officer

3 weeks ago

United Kingdom Inneo Recruitment Ltd Full time

We are seeking a skilled and knowledgeable Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring that our organisation adheres to all applicable laws, regulations, and internal policies, promoting a culture of ethical conduct and integrity throughout the firm.

Your expertise in legal compliance and attention to detail will play a vital role in safeguarding

our reputation and maintaining our commitment to the highest standards of professional practice.

Responsibilities:

  • Regulatory Compliance: Stay up-to-date with relevant laws, regulations, and industry standards that affect the legal services sector. Monitor changes in compliance requirements and promptly communicate updates to relevant stakeholders.
  • Policy Development: Develop and implement compliance policies and procedures tailored to the specific needs of the company. Ensure these policies align with legal requirements and industry best practices.
  • Training and Education: Conduct compliance training sessions for employees to ensure a comprehensive understanding of the firm's compliance policies and their obligations in meeting regulatory requirements.
  • Risk Assessment: Conduct periodic risk assessments to identify potential compliance risks and areas for improvement. Collaborate with management to develop strategies for mitigating identified risks.
  • Compliance Monitoring: Establish monitoring and surveillance programs to track compliance with internal policies and external regulations. Conduct periodic audits and reviews to identify and address compliance gaps.
  • Reporting : Prepare regular reports for senior management and assist with the annual SRA report, providing insights into compliance performance, emerging risks, and the effectiveness of existing compliance programs.
  • Investigations : Lead or assist in internal investigations of compliance-related matters. Collaborate with legal teams to ensure prompt and thorough resolution of any compliance issues.
  • Whistleblower Program : Oversee the firm's whistleblower program, ensuring confidentiality, anonymity, and appropriate follow-up on reported concerns.
  • External Relations: Liaise with regulatory authorities, industry associations, and external auditors to address compliance matters, coordinate examinations, and respond to inquiries.
  • Ethics and Integrity: Promote a culture of ethics, integrity, and accountability within the organisation. Provide guidance on ethical dilemmas and ensure the ethical conduct of all employees.

Requirements:

• Proven experience as a Compliance Officer or in a similar compliance role, preferably within the

legal or financial services industry.

• Thorough knowledge of relevant laws and regulations, including SRA conduct rules and anti-

money laundering (AML) regulations.

• Familiarity with compliance management systems, risk assessment tools, and reporting

mechanisms

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