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Compliance and Governance Specialist
2 months ago
Compliance Career Opportunity
We are working with a dynamic and growing law firm who are seeking a Risk and Compliance Executive to join their team. The firm has a supportive and open culture, where they heavily invest in development opportunities for their staff.
Experience in a legal setting is highly desirable, but candidates from other industries will be considered. The ideal candidate will have experience handling renewals, audits, and compliance with regulatory bodies such as the SRA, Lexcel, CSE, and CQS. Training can be provided on these areas.
Main Responsibilities:
- To ensure compliance with legal requirements and professional rules by the firm and its staff, working in conjunction with the firm's compliance team.
- Handling complaints, including liaising with clients and staff, investigating concerns, and preparing written and oral responses.
- Conducting regulatory and thematic file reviews and managing the firm's central record in this regard.
- Assisting with data protection compliance, including the management of data subject access requests and review of data breaches.
- Responding to day-to-day queries from staff on issues such as anti-money laundering, sanctions, confidentiality, and conflicts of interest.
- Reviewing and improving the firm's policies, procedures, and client-facing information.
- Updating the Risk and Compliance Team records, analyzing data, and producing reports where required.
- Assisting with notification requirements under the firm's professional indemnity insurance.
Benefits:
- 22 days holiday + Bank Holidays
- Contributory Pension Scheme
- Life Assurance
- Health Cover
- Discretionary Annual Bonus
- Subsidized Parking
- Hybrid 1 day a week at home, after probation
