Compliance Assistant

5 months ago

Reading, United Kingdom 2i Recruit Full time

Location:
- Reading- Salary:
- £28,000 - £35,000- Type:
- Permanent- Sector:
- Admin & Office SupportOur professional client based in Reading are seeking a **Compliance Assistant** to join their busy and close-knit team. As the company’s **Compliance Assistant**, you will play a pivotal role in supporting their commitment to ethical practices and legal compliance ensuring that they continue to uphold the highest standards of professionalism. This role requires a keen understanding of law dynamics and the ability to navigate compliance challenges in the context of legal matters.

**Company Benefits**:

- Private healthcare
- Bonus scheme
- Competitive pension scheme

**Key Responsibilities**:

- Assist in identifying, assessing, and mitigating potential risks associated with law cases and firm operations.
- Contribute to the development and implementation of risk management and compliance policies.
- Assist in reviewing the client intake process by conducting due diligence on potential law and private client clients, ensuring compliance with anti-money laundering (AML) and Know Your Customer (KYC) requirements.
- Stay abreast of changes in law regulations and standards to ensure ongoing compliance.
- Organise and assist in conducting training sessions for staff to enhance awareness of risk and compliance issues.
- Maintain accurate and up-to-date records related to risk assessments, compliance activities, and client due diligence.
- Ensure strict confidentiality and compliance with privacy regulations concerning sensitive information.
- Provide support during internal and external audits related to cases and compliance activities.
- Prepare files upon receipt of complaints, ensuring all necessary documentation is organized and accessible.
- Draft and prepare a comprehensive chronology of events for each case associated with a complaint.
- Assist in the preparation of acknowledgment letters to complainants.
- Support the preparation of Final Response letters to address and resolve complaints effectively.
- Maintain the Complaints Register, ensuring accurate and up-to-date records are kept.
- Provide administrative support for the complaints process, policy, and periodic reviews.
- Offer administrative support for the Office Manual Index, ensuring it is well-maintained and accessible.
- Assist in the review and updating of policies outlined in the office manual.
- Assist in maintaining and updating templates within the ALB system.
- Provide administrative support for the Compliance Register, including maintaining and reviewing it regularly.
- Assist in maintaining and updating the Compliance Audit by Fee Earner (CAFÉ) Report.
- Assist in maintaining and updating the Record of Write-off and Credits by Compliance (RWOCC) Report.
- Provide administrative assistance for the preparation of weekly, monthly, billing, and COLP (Compliance Officer for Legal Practice) reports.
- Assist in logging File and Peer Reviews, ensuring accurate documentation of feedback.
- Support in arranging and scheduling File and Peer Reviews.
- Provide administrative assistance in logging action points and following up on them.
- Assist in reviewing High and Medium Risk reviews, ensuring compliance with established procedures.
- Provide administrative assistance in logging and following up on action points.
- Assist in preparing forms for continuing competence each year.
- Provide administrative assistance in calling in and collecting completed forms.
- Provide administrative assistance in preparing for mandatory training sessions.
- Assist in rolling out and collating records for mandatory training compliance.
- Offer administrative assistance and support for ad hoc Compliance tasks and projects.
- Provide administrative assistance and support for ad hoc Health & Safety tasks and projects.
- Support ad hoc Operational tasks and projects with administrative assistance.

**Experience and Skills Requirements**:

- Bachelor’s degree in law, business, or a related field preferred but not a necessity.
- Previous experience in a law firm, legal department, or compliance role preferred.
- Understanding of legal and regulatory requirements.
- Strong analytical skills and attention to detail.
- Excellent communication and interpersonal skills.
- Ability to work independently and collaboratively in a fast-paced law environment.
- Proficiency in Microsoft Office Suite and other relevant software.

If you have not been contacted within 5 working days, then unfortunately on this occasion your CV has not been shortlisted.

VR/06363

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