Risk and Compliance Manager

6 days ago


Bournemouth, Bournemouth, United Kingdom AJ FOX COMPLIANCE Full time
Job Summary

AJ FOX COMPLIANCE is seeking a highly motivated and experienced Risk and Compliance Executive to join our team. As a key member of our compliance department, you will play a vital role in ensuring the firm's adherence to all legal, regulatory, and professional standards.

Key Responsibilities
  • Stay informed on relevant legislative and regulatory changes and ensure policies and procedures are promptly updated.
  • Maintain and update existing compliance and regulatory policies, processes, and procedures.
  • Deliver comprehensive risk and compliance training across the firm.
  • Provide legal, risk, and compliance-based advice to firm-wide staff.
  • Collaborate with senior management and fee earners.
  • Act as a point of contact for the firm's broker/claims handler regarding insurance policy renewals.
  • Collaborate with the Money Laundering Reporting Officer (MLRO) to ensure compliance with Money Laundering Regulations.
  • Maintain compliance registers, such as risk registers, conflicts registers, etc.
  • Analyse file review data and report on findings.
  • Investigate complaints, incidents, and breaches, and make recommendations for future prevention.
  • Escalate potential SRA regulatory breaches.
Requirements
  • Previous risk and compliance experience gained within a professional services law firm.
  • Prior experience designing and implementing compliance policies, processes, and procedures.
  • Understanding of SRA Standards and AML Regulations.
  • Excellent interpersonal, written, and verbal communication skills.
  • Keen eye for detail.
What We Offer

AJ FOX COMPLIANCE offers a dynamic and supportive work environment, with opportunities for professional growth and development. If you are a motivated and ambitious individual with a passion for risk and compliance, we encourage you to apply for this exciting opportunity.



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