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Compliance and Risk Management Specialist

2 months ago

Bishop's Stortford, Hertfordshire, United Kingdom Clear IT Recruitment Full time

Position Overview:
Our client is seeking a dedicated Compliance and Risk Management Specialist to join their esteemed legal practice.


Role Responsibilities:
This position presents a remarkable opportunity for a compliance professional to contribute to the enhancement of operational processes, foster a culture of compliance, and mitigate risks throughout the organization.


The successful candidate will be responsible for:

  • Assisting the Compliance and Risk Management Team with comprehensive file assessments.
  • Managing client grievances and coordinating notifications to relevant insurers.
  • Serving as a primary contact for general compliance inquiries from team members.
  • Maintaining and updating the firm's central compliance records.
  • Supporting the organization in adhering to data protection regulations and anti-money laundering (AML) standards.


Accreditation Support:
A crucial aspect of this role involves aiding the firm in achieving and maintaining various accreditations, including Lexcel, Customer Service Excellence, and Conveyancing Quality Standard.


Candidate Profile:
The ideal candidate will possess:

  • Prior experience in compliance or risk management within the legal sector.
  • Strong communication skills to effectively engage with clients, colleagues, and external professionals.
  • Proficiency in Microsoft Office applications.


Key Duties Include:

  • Ensuring adherence to legal standards and professional regulations.
  • Handling complaints, which involves liaising with clients and staff, investigating issues, and preparing documentation.
  • Conducting regulatory reviews and managing the firm's central compliance records.
  • Assisting with data protection compliance, including managing data subject access requests and reviewing data breaches.
  • Responding to daily inquiries from staff regarding AML, confidentiality, and conflicts of interest.
  • Reviewing and enhancing the firm's policies and procedures.
  • Updating compliance records, analyzing data, and generating reports as necessary.
  • Participating in meetings as required.


Essential Knowledge:
The candidate should have a solid understanding of:

  • The Solicitors Regulation Authority Handbook.
  • AML regulations, sanctions, data protection laws, and other relevant legislation.
  • The operational dynamics of law firms and commercial practices.


For further inquiries regarding this opportunity, please reach out to Clear IT Recruitment.