Regulatory Compliance Officer

3 days ago


Newcastle upon Tyne, Newcastle upon Tyne, United Kingdom BCL Legal Full time

Job Description

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We are seeking a Quality Assurance Lead to join our team in Newcastle. As a key member of our compliance team, you will play a pivotal role in ensuring that our practices, records, and controls are in strict compliance with regulations and accreditation requirements.

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Main Responsibilities

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  • Plan and conduct monthly quality audits on fee earners, ensuring adherence to regulatory standards.
  • Perform thorough risk assessments and internal control evaluations, reporting any discrepancies.
  • Create and maintain a comprehensive quality log, identifying trends and training needs.
  • Collaborate and liaise with stakeholders to calibrate audits, implement best practices, and drive performance improvements.
  • Analyse historical data to develop quality improvement initiatives and strategies.
  • Evaluate audit findings and ensure the implementation of corrective actions in collaboration with supervisors.
  • Contribute to team meetings with insightful communications and manage firm-wide performance.
  • Execute interpretations of regulatory requirements and quality standards.
  • Ensure random and focused audits are performed and completed promptly.
  • Prepare detailed quality reports for senior management and other key stakeholders.
  • Assist the Head of Risk and Compliance and COLP with preparations for external audits and compliance assessments.
  • Monitor the implementation of external audit recommendations and execute remedial actions.
  • Stay informed about the latest sector regulations and best practices in internal auditing.
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Requirements and Qualifications

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A salary of £60,000 - £75,000 per annum is offered based on qualifications and experience.

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About Us

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BCL Legal is an equal opportunities employer and offers a competitive benefits package.



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