Compliance Advisor

Department : Compliance Location : Derby, UK Description In today's dynamic business environment, the role of a compliance advisor has never been more crucial. As our company experiences significant growth and navigates an evolving compliance landscape, we are in search of a dedicated compliance advisor to bolster our team. This position is instrumental in ensuring our adherence to laws, regulations, industry standards, and internal policies. By effectively managing these responsibilities, we can confidently avoid potential legal pitfalls, penalties, and sanctions. The Compliance Advisor will oversee the compliance inbox, expertly triage incoming tasks, and provide vital support in answering queries and offering guidance. This role also encompasses coordinating complaints, examining breaches, and handling data subject requests. Join us in this pivotal role, where your contributions will be invaluable in safeguarding our company’s integrity and success. Become a valued member of our compliance team by joining as an advisor who will report directly to the Head of Compliance. This full‑time position is based in either our Derby or Leeds office. Key Responsibilities Business as usual activities Triaging the compliance inbox and dealing with all incoming compliance notifications (e.g. SARS, claims, complaints, breaches, queries, client tender and audit support). Managing key dates and communications for the compliance team. Maintaining the compliance register and associated records. Producing various management reports. Supporting the compliance team to achieve their key strategic objectives. Policy Governance (maintenance) Maintaining the Policy Register. Identifying outstanding policy reviews and producing reports. Following up on policy updates with departments. Overseeing the administration of the Policy Hub. Risk Management Identifying risks arising from compliance notifications and providing guidance to staff on ways to minimise risk. Escalating high risks when required. Maintaining the compliance department risk register. Financial Crime Providing guidance to employees in relation to AML/CDD queries. Monitoring and following up on improvement actions. Managing ongoing monitoring alerts in Legl. Maintaining gifts and hospitality register and records. Producing reports. Data Protection Providing guidance to employees on data protection obligations. Investigating and resolving data protection breaches. Facilitating responses to data subject requests. Maintaining the Records of Processing Activities (RoPA) to ensure it remains accurate, complete, and reflects current processing activities. Continual Improvement Maintaining the Continual Improvement Register and the record repository. Provide advice and follow up on outstanding continual improvement actions. Producing monthly MI. Mergers and Acquisitions Handling compliance queries. Updating the Record of Processing Activities Register. Identifying whether any changes are required to the Compliance Register. Managing new undertakings and adding them to the Undertakings Register. Identifying financial interests and updating the Financial Interest Register. Assisting with completing conflict of interests checks. Systems, MI, Reports, and Analysis Collecting statistics and producing reports detailing business as usual activity, while identifying recurring trends and issues that may require escalation for broader analysis within the organisation (monthly compliance report). Skills, Knowledge And Expertise Extensive complaint handling experience preferably within legal services. Ability to remain calm under pressure, and make informed and reasonable decisions. Be organised, process driven and analytical with a pragmatic approach to finding solutions. Be highly self‑motivated and comfortable with regular deadlines. Be able to multi‑task and prioritise the workload. Be hard‑working and a good team player. Have strong interpersonal, communication and presentation skills. Disclosure will be required in the event that a position is offered. Benefits Competitive salary Bonus potential Career development opportunities 25 days holiday plus bank holidays Options to buy & sell 1 week’s holiday 1 week’s holiday carry over Extra day off for your birthday Employee discount scheme for local businesses Social days and evenings on the firm Staff discounts on legal services #J-18808-Ljbffr