Compliance Assistant
4 months ago
Compliance Assistant My Client is an award winning, Legal 500 ranked, full service law firm which is growing fast. They advise UK and international businesses and individuals, and pride themselves on providing long term support to their clients.
We are recruiting for a Compliance Assistant to join the established compliance team, reporting directly to the firm’s Risk & Compliance Manager on a day to day basis.
- Performing compliance file audits and monitoring department file audits, liaising with the Risk & Compliance Manager regarding any corrective actions and associated reporting and follow ups;
- Maintaining the firm’s compliance registers e.g. SRA, ICO and Compliance breaches, gifts and hospitality, complaints, claims.
- Assisting the Risk & Compliance Manager with maintaining the firm’s SRA records and industry accreditations eg CQS;
- Maintaining the firm’s compliance training registers;
- Organising firmwide in-person training and maintaining the firm’s on-line training platform;
- Assisting with new starter compliance engagement;
- Assisting the Risk & Compliance Manager with practising certificate renewals;
- Assisting with and maintaining referrals records and performing compliance audits on referral files;
- Compiling data and producing reports and commentary on various compliance data for the Risk & Compliance Manager and Compliance Board.
- Monitoring and providing updates to the firmwide department manuals.
- Monitoring and following up on the firm’s Undertakings register.
- Preparing materials in advance of compliance training, meetings and clinics.
- Performing additional ad-hoc compliance associated tasks and activities as delegated by the Risk & Compliance Manager.
- Assisting the MLRO with review of and commentary on source of funds and wealth evidence enquiries.
- Performing tasks e.g. booking meeting rooms, booking training courses.
- review, process and respond to queries in relation to compliance, breaches, complaints, feedback, claims, money laundering, and other compliance issues arising across the Firm;
- assist the Risk & Compliance Manager with compiling monthly reports on problem areas / departments.
Applicants must be able to demonstrate that they are capable of working on their own initiative whilst being a strong team player. An ability to consistently maintain high standards will be essential as will excellent IT skills.
free car parking, pension and a bonus scheme.
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