Current jobs related to Risk and Compliance Specialist - London Area - Bates Wells

  • Risk Governance

    2 days ago

    London, Greater London, United Kingdom Risk & Compliance Platform Full time

    About the CompanyRisk & Compliance Platform is a leading provider of risk and compliance solutions to businesses across various industries. We pride ourselves on delivering high-quality services that meet the needs of our clients.About the RoleWe are currently seeking a highly skilled Risk Governance & Compliance Specialist to join our team. The successful...

  • Compliance Risk Specialist

    3 weeks ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job DescriptionAt AJ Fox Compliance, we are seeking a highly skilled Compliance Risk Specialist to join our legal team in London. This role will support the Compliance team in their legal and regulatory duties.Key Responsibilities:Conduct Customer Due Diligence (CDD) for various clients, including individuals, companies, and trusts.Perform risk assessments...

  • Compliance Risk Management Specialist

    1 month ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job OverviewWe are seeking a highly skilled Compliance Risk Management Specialist to join our team at AJ Fox Compliance. This role offers a unique opportunity to develop expertise in compliance and risk management while contributing to key projects across the business.Prior experience within a legal risk and compliance environment is highly valued, along...

  • Risk & Compliance Analyst

    3 weeks ago

    London Area, United Kingdom AJ FOX COMPLIANCE Full time

    We are working with a well-respected London law firm who are looking for a Risk and Compliance Analyst to join their team! This is a hybrid role with three days based in the office and two days working from home. This is a generalist role that involves supporting the Risk and Compliance Manager and the wider team to ensure compliance with relevant...

  • Risk & Compliance Analyst

    2 months ago

    London Area, United Kingdom AJ FOX COMPLIANCE Full time

    We are working with a well-respected London law firm who are looking for a Risk and Compliance Analyst to join their team! This is a hybrid role with three days based in the office and two days working from home. This is a generalist role that involves supporting the Risk and Compliance Manager and the wider team to ensure compliance with relevant...

  • Compliance Risk Management Specialist

    2 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    About the RoleWe are seeking a skilled Compliance Risk Management Specialist to join our AJ FOX COMPLIANCE team in London. This is an exciting opportunity for someone looking to take on a wider role with broader responsibilities and greater exposure to various regulatory functions.Key Responsibilities:Act as a key point of contact for compliance queries,...

  • Compliance Risk Management Expert

    7 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    We are seeking a seasoned Compliance Risk Management Expert to lead our global compliance efforts. Based in the City, our client is a world-leading specialist broker with a reputation for excellence.Job OverviewThe successful candidate will be responsible for managing global regulatory relationships, providing advisory coverage to all business desks...

  • Risk Management and Compliance Expert

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:We are seeking an experienced AML and Financial Crime Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for managing the financial crime compliance programme, including AML, ABC, Sanctions Compliance, and Criminal Finances Act.Key Responsibilities:Working within the EMEA Financial Crime Team...

  • Compliance and Risk Expert

    4 weeks ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Prestigious Full-Service Law Firm RecruitmentA fantastic opportunity for a seasoned professional to develop their compliance career and expand their expertise in regulatory compliance areas, including AML and conflicts management.This diverse and engaging role allows an ambitious individual to broaden their knowledge and practical skills with exposure to a...

  • Risk & Compliance Officer

    5 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: We are working with a retail and wholesale bank based in the Westend in their search for a Risk & Compliance Officer to join the team. **THE RESPONSIBILITIES**: - Report any deficiencies in the Bank’s policies or practices in relation to Compliance to the Compliance Manager and where applicable to the Head of Department. - Analyse and...

  • Risk Management Professional

    6 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Description:We are seeking a highly skilled Risk Management Professional to join our team as a Senior Compliance Specialist. This is an excellent opportunity for an experienced professional to work with a reputable banking firm and contribute to the development and implementation of effective compliance monitoring plans.Key Responsibilities:Develop and...

  • Compliance Specialist

    6 days ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance ManagerAJ FOX COMPLIANCE is seeking a Compliance Manager to oversee risk and compliance management strategies and ensure that all policies, controls, and procedures meet regulatory standards.The ideal candidate will have experience in a risk and compliance role at a law or professional services firm and a good working knowledge of relevant laws,...

  • Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Paritas Recruitment - Compliance Full time

    About the RoleThe Compliance Specialist will support the onboarding process and third-party risk management, focusing on Know Your Customer (KYC) while also assisting with broader aspects of the Compliance Programme, such as risk assessments, screening and training.Key ResponsibilitiesSupport the onboarding process and third-party risk management, with a...

  • Risk and Compliance Specialist

    7 days ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a skilled Contracts Lawyer to join our team at AJ FOX COMPLIANCE.The ideal candidate will have excellent analytical, communication, and organisational skills.Responsibilities include liaising with stakeholders, assisting senior staff, reviewing policies and procedures, and providing advice on client terms and bid proposals.The successful...

  • Fire Risk Consultant

    4 weeks ago

    London, Greater London, United Kingdom Marlowe Software, Risk and Compliance Full time

    Fire Risk Assessor Job DescriptionWe are seeking a highly skilled Fire Risk Assessor to join our team at Marlowe Software, Risk and Compliance. As a Fire Risk Assessor, you will be responsible for conducting fire risk assessments and providing expert advice to our clients on fire safety and risk management.Key Responsibilities:Conduct fire risk assessments...

  • Compliance Risk Management Senior Officer

    3 weeks ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job DescriptionWe are seeking a highly skilled AML and Compliance Senior Specialist to join our team at AJ Fox Compliance. This role involves conducting thorough AML checks, ensuring compliance with our firm's policies by reviewing documentation and performing risk assessments for new and reopened clients.The ideal candidate will have a strong background in...

  • AML/Compliance Risk Manager

    7 days ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Salary: £60,000 - £80,000 per annum, depending on experience.About the JobWe are seeking a Senior Compliance Monitoring Specialist to join our team at Compliance Recruitment Solutions. The ideal candidate will have a strong background in compliance monitoring, with a minimum of 2 years' experience in a Wealth Management or Retail Financial Advice firm.Key...

  • AML Compliance Risk Specialist

    6 days ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job DescriptionWe are seeking a highly skilled professional with expertise in Anti-Money Laundering (AML) sanctions and compliance to join our team as a remote Compliance Officer at AJ Fox Compliance.In this role, you will be responsible for handling a broad range of compliance, conflicts, and AML issues, including the opportunity to handle escalations from...

  • Compliance Risk Manager

    4 days ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Risk Manager RoleAJ FOX COMPLIANCE seeks a seasoned Compliance Risk Manager to lead our risk management endeavors. This position involves collaborating with senior leadership to embed a strong compliance culture, providing expert guidance on regulatory and risk issues, and overseeing policy updates.Key ResponsibilitiesCollaborate with senior...

  • Process Governance

    1 month ago

    London, Greater London, United Kingdom Risk & Compliance Platform Full time

    Process Governance & Standards Compliance LeadAre you looking for an opportunity to shape the QHSSE compliance framework for the whole of Business Area Wind of Vattenfall? In this unique role, you will be enabling operational improvements that will help to accelerate our mission to fossil-free living through the power of renewables.You will lead a team of...

Risk and Compliance Specialist

1 month ago

London Area, United Kingdom Bates Wells Full time
About the Role

We are seeking a highly skilled Risk and Compliance Lawyer to join our growing Risk & Compliance function. As a key member of the team, you will assist and advise across the business on all aspects of regulatory compliance, acting as a first point of contact for escalations and providing overall support to the team.

The team deals with interesting and complex matters in the compliance space and remains mindful of the needs of the practice and business teams.

Key Responsibilities
  • Act as the primary point of escalation for enquiries from the onboarding team relating to all core compliance issues including AML, CDD, sanctions and conflicts, escalating matters to the Director of Risk and Senior Risk & Compliance Lawyer as appropriate.
  • Assist with Data Protection/GDPR matters, advising on data breaches (including escalations to the ICO), responding to DSARs, drafting DPIAs.
  • Assist the Director of Risk and Senior Risk Lawyer with internal investigations with reference to the relevant SRA Principles and Codes of Conduct.
  • Review client engagement terms and assist in providing replies to client questionnaires, tender and audits. Review supplier contracts and assist with regulatory aspects of procurement.
  • Undertake a preliminary review of complaints and potential claims. Report matters to the firm's senior management team, management board, and insurers with the Senior Risk Lawyer. Update the firm Risk Register to record all complaints and claims.
  • Facilitate the development of a training programme on all aspects of regulatory risk. Deliver mandatory training through the training programme and on an ad hoc basis.
  • Assist in the development, review and maintenance of the firm's compliance policies and procedures.
  • Horizon scan, including monitoring legal and regulatory developments and sharing these insights with the R&C team and wider firm where appropriate.
  • Support the business in achieving regulatory standards including ISO accreditations.
  • Assist the R&C Team with ongoing projects to continually improve the firm's approach to all aspects of regulatory compliance.
About You
  • Qualified lawyer with at least 2-3 years of compliance experience in a law firm. Alternatively, you will be an experienced lawyer looking to transition into a risk role.
  • Knowledge of professional conduct rules and the regulatory landscape.
  • Excellent drafting, communication, and stakeholder engagement skills.
  • Ability to work across multiple tasks and to tight deadlines in line with the requirements of the business.
  • Excellent written and verbal communication skills with a strong attention to detail.
  • Ability to build and maintain strong client relationships with a client-centric approach.
Why Join Us?

We are a values-driven firm that prioritizes our clients, people, and the planet. We are committed to integrating the Climate Emergency and Biodiversity Crisis into our business strategy.

We offer a comprehensive benefits package, including pension contributions, private medical insurance, discretionary bonuses, life assurance, subsidized gym memberships, lifestyle discount schemes, and a firm-wide profit-sharing scheme.

We are a supportive and passionate team that aims to ensure we comply with all relevant laws and regulations, protect the firm and our colleagues' professional integrity, and support everyone so that we can provide an excellent service to clients.