Compliance Manager
3 weeks ago
Our client operates within the legal services sector and has a permanent vacancy for a Compliance Manager, reporting to the Head of Risk and Compliance. The role is based at Gatwick but will require occasional travel to other offices.
**The role**
- Oversee and maintain the accreditation Lexcel including but not limited to the maintenance of all office procedures, file review procedures and liaising with external consultants.
- To continually promote, actively educate and encourage everyone in the firm to work within Best Practice.
- Highlighting non-compliance issues and liaising with employees at all levels as required.
- Continually develop and review control systems and processes to prevent any breaches of firm guidance, policies and procedures.
- To regularly review and update policies, procedures and reporting to ensure compliance at all times.
- To be responsible for maintaining the Policies section of the firm’s Intranet
- Investigate all compliance issues to discover the cause and implement solutions with the agreement of the Head of Risk and Compliance ensuring incidents are actioned appropriately.
- To assist with the training of new starters at the firm and refresher training for existing employees.
- Responsible for the management of the archiving processes (physical and electronic) storage ensuring that statutory obligations are complied with in terms of retention periods.
- To maintain the firm’s Risk Register, liaising with all Business Support Services TLs and Legal Services HoTs to ensure all relevant areas are up to date.
- Keep abreast of regulatory developments as well as evolving best practices in compliance control.
- Regularly educate the firm on how to maintain and improve compliance.
- Assess with the Head of Risk and Compliance, future business activities to identify possible compliance risks.
- To review all firm documentation and literature such as marketing materials for compliance with legal requirements.
- Day to day supervision of the Compliance Assistant and Records & Compliance Administrator.
- Undertaking other duties and tasks that are appropriate for the role of the Compliance Manager.
**Requirements**:
A broad technical knowledge and expertise in relation to risk and compliance regulatory processes and matters at a senior level;
Experience of working within a professional services (preferably legal) industry;
A good working knowledge of the Lexcel accreditation and the ability to lead this process on an annual basis;
A good knowledge of reporting procedures and record keeping;
A practical and commercial approach to problem solving;
Project management skills and the ability to multi-task and work under pressure;
Good written communication and drafting skills;
Strong communication and influencing skills;
Experience of leading and managing a team;
An ICA Diploma or equivalent qualification in International Compliance and Anti-Money Laundering;
**Desirable**
A Bachelors or Master’s Degree Industry Certification
A Law Degree
Microsoft Applications and Accounting systems.
General Accounts and Solicitor’s Accounts Rules.
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