Risk and Compliance Officer

3 weeks ago

Sale, United Kingdom Slater Heelis Full time

**Key Purpose of Role**

The Risk and Compliance Officer role is a key role in the Risk and Compliance team, providing operational and strategic support and assistance to the Chief Risk and Compliance Officer, Data Protection Officer (DPO) and Money Laundering Reporting Officer (MLRO).

**Key Responsibilities**

**GDPR**

To take the lead on developing and maintaining Policy and Procedures in relation to GDPR.

To provide support to the DPO reviewing policies and procedures and assistance with data breaches.

To assist the DPO to deal with internal data breaches by advising on steps to be taken by the individual reporting the breach and making any reports that are necessary as a result of the breach (both internal and to the ICO/SRA).

To deal with data requests under the GDPR under the supervision of the Data Protection Officer.

Finalise and maintain a data map.

Assisting the DPO to identify and managing potential risks and issues related to data protection.

Liaising with external providers/regulators as required.

Assisting the DPO with data protection impact assessments.

To assist with the facilitation of, or the delivery of, Firm-wide internal training relating to matters of data.

**AML**

To assist with ID and Funding enquiries from Fee Earners and to escalate these to the MLRO as appropriate.

To assist the MLRO in dealing with escalated AML enquiries.

Maintaining up-to-date knowledge and developments/changes in the data privacy.

Provide assistance to the MLRO and MLCO as and when required to assist with ID enquiries relating to AML; this also includes any administrative assistance to the MLRO when submitting reports to the NCA and thereafter maintaining records of all reports sent and relating correspondence and legal sector.

To provide administrative assistance to the MLRO with regards to the submitting of reports to the NCA and thereafter maintaining records of all reports sent and related correspondence.

To maintain and keep under review the Firm’s AML policies and procedures;
To assist with the facilitation of, or the delivery of, Firm-wide internal training relating to our AML function.

**Complaints**

To provide assistance with complaints as and when required.

Assistance with professional indemnity insurance notifications.

**Conflicts**

To provide assistance in relation to conflicts of interest as and when required.

**ISO 9001 Audits**

To assist with ISO audits.

**Other**

To provide assistance in relation to professional indemnity insurance renewals.

To provide assistance in relation to Undertakings.

To provide general assistance to the Chief Risk and Compliance Officer as required;
To provide support in relation to the Lexcel inspection each year in relation to Risk and Compliance.

To recognise/ identify areas of risk within the practice and to report back to the Chief Risk and Compliance Officer on any such risks.

To attend Risk and Compliance Team Meetings.

To attend Management Meetings.

**Successful Applicant**

Ideally has some legal qualifications.

Ideally worked within a legal environment.

Proven experience in a similar role.

Strong knowledge of data privacy and protection laws and regulations.

Good IT skills.

Strong communication and interpersonal skills.

**Location**

This role comes with the option of hybrid working, however there will be a requirement to work from our Sale office.

**Benefits**

We have a range of benefits including 25 days annual leave plus 1 day for birthday and 8 Bank holidays, a contributory pension scheme, discounted gym membership, cycle to work scheme, tech scheme, healthcare cash plan, flexible working hours, death-in-service and critical illness cover.

**Job Type**: Permanent

Schedule:

- Monday to Friday

Work Location: Hybrid remote in Sale, M33 7FT

Application deadline: 10/04/2024

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