Internal Risk and Compliance Specialist

20 hours ago


Farnborough, Hampshire, United Kingdom Austin Fraser Full time

We are looking for an experienced Internal Risk and Compliance Specialist to join our team at Austin Fraser in Farnborough. As a key member of the organization, you will be responsible for providing best-in-class internal risk and compliance functions.

The ideal candidate will have:

  • 5 years' experience in legal or financial services risk and compliance management
  • Risk or compliance-based qualification
  • Up-to-date knowledge of risk and compliance requirements in the legal profession
  • Excellent communication and interpersonal skills
  • Able to work independently and as part of a team

Key responsibilities include:

  1. Risk and compliance management with knowledge of SRA and FCA compliance models
  2. Review, monitoring, and updates of firm's policies & procedures
  3. Providing a best-in-class internal risk and compliance function
  4. Performance of day-to-day tasks delegated by the COLP, COFA, DPO, Complaints / Claims officer, and MLRO
  5. Assisting staff with conduct questions (e.g., conflicts) and reporting
  6. Assisting staff with Anti Money Laundering questions and reporting
  7. Complaints and claims risk management
  8. Practicing certificate renewals
  9. Performance of file verifications and associated follow-ups
  10. Compliance record keeping, monitoring, and reporting
  11. Running new starter compliance sessions and embedding good practice
  12. Creation and delivery of bespoke compliance training for staff
  13. Compliance audits and General compliance awareness activities
Benefits:
  • Estimated salary: £50,000-£65,000 per annum, depending on experience
  • Bonus scheme
  • Pension - up to 5%
  • Access to online employee discount platform
  • Sociable team including month-end drinks
  • Life assurance
  • Healthcare benefits including online GP access
  • Annual service awards
  • Employee Assistance programme


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