Risk & Compliance Assistant

6 months ago

Leeds, United Kingdom Drydensfairfax Solicitors Full time

**Job Title**:Risk & Compliance Assistant

**Location**:Leeds/Homeworking

**Reports To**:Complaints Manager

**Hours of Work**:35 hours per week (09.00 - 17.00 with 1 hour for lunch). Some flexibility may be required according to workloads

**Salary**:£20,000 to £23,000 per annum

**THE ROLE**

drydensfairfax is a firm of solicitors that is dual regulated by both the Solicitors Regulation Authority (SRA) and the Financial Conduct Authority (FCA). Operating in this highly regulated environment demands that its diverse business processes continually comply with current regulatory, legal and recognised quality standards.

The Risk & Compliance Assistant undertakes a wide range of important duties within the Risk & Compliance Function. Specifically, the role offers key assistance in ensuring that all the Firm’s business areas meet their ongoing compliance obligations; with the regulatory and professional bodies.

The core responsibilities of this role are to take ownership of, and then successfully deliver, key monitoring activities, drive the administration of the firm-wide policies and offer an effective risk resource, where required across the business.

**YOUR TASKS**
- **Call Quality Monitoring** - monitor and assess customer calls to ensure that the correct process has been adhered to and we maintain regulatory compliance
- **Client audits** - assist in the preparation of audit calls for clients and attending client audits as required, ensuring that any risks and issues are correctly escalated to the Risk & Compliance Team
- **Second line Quality Assurance Auditing (2LoD)**:

- review of, and reporting 1LoD results to the Firm’s Governance, Risk & Compliance Committee (GRCC) including responsibility for appropriate feedback to Team Managers to improve the ongoing focus and quality of 1LoD quality assurance
- **Policies**:

- co-ordinating the timely review and updates of the firms’ policies and associated procedures by key stakeholders within a centrally owned process
- **Subject Access Requests (SARs)**:

- take responsibility for co-ordinating the timely production and delivery of new SAR requests and the required updates to clients within 24 hours of receipt
- **External Supplier Audit** - assist with the administration and delivery of external supplier audits including preparation and assessment of pre-audit questionnaires and where necessary, undertaking on-site audits of suppliers
- **Threats** **against the Firm**:

- recording & administering threats to report made to the firm, including the media, the SRA, FCA, FOS and other Regulators
- **Incident Management** - Assisting with the administration and resolution of issues and incidents recorded on the firm’s Issue & Incidents log
- **Business Continuity Plan Testing** - Assisting with BCP testing exercises
- **ISO27001** - Assisting with the firm’s compliance with its ISO27001 accreditation, including assisting with audits and the re-accreditation process

**ABOUT YOU**
- Have excellent interpersonal skills and the ability to build working relationships quickly
- Possess good analytical skills and an ability to work with detailed information over an extended period
- Able to accurately record information with a keen eye for detail
- Able to shift focus to different principles (e.g. review quality of and adherence to procedures at the same time)
- Possess a systematic and structured approach to work/priorities
- Have the ability to generate ideas and think in a creative way
- Able to work with mínimal supervision but also be a good team player
- Possess excellent written skills in terms of content, spelling, grammar and formatting
- Have the ability to generate ideas and think in a creative way
- Ability to work to deadlines

**YOUR SKILLS - Essential**
- Experience of working within a professional services firm
- Experience of working in financial services sector
- Experience of working in a regulated environment
- Proven skills in volume and paperless environments
- Competent user of MS Word, Excel and PowerPoint

**YOUR SKILLS - Desirable**
- Knowledge of debt recovery and litigation
- Experience of call quality monitoring
- Previous experience of working in a Risk and/or Compliance Function
- Previous audit experience, preferably 2ndline regulatory auditing and supplier audit
- Experience of operating a case management system
- An understanding of the legal environment

**ABOUT US**

As one of the UK’s largest law firms focused solely on the recovery of debt, we appreciate the role we play in representing the industry and our clients to deliver real commercial results whilst preserving customer relationships. That’s why year on year we have been recognised as one of the top tier firms in the UK by leading independent legal directory, The Legal 500.

We are also part of the Arrow Global Group a European based regulated business operating in five different geographies.

This is a fantastic opportunity to join an organisation who

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