Compliance Manager
2 weeks ago
Compliance Manager vacancy to report to the Board of a law firm based in Leeds.
This is the No.1 compliance role, overseeing a compliance officer and reporting to the Board.
The post includes;
- Taking risk-based approach to compliance within the business.
- Develop best practice compliance management procedures
- Implement, maintain, and monitor firm-wide compliance manuals, policies and procedures
- Support Data Protection requirements including data protection regulation/UKGDPR
- Support the MLRO on the regulatory framework, including, research and training on regulatory rules.
- Support the COLP on regulatory and compliance matters, including research and training on regulatory rules.
- Co-ordinate, facilitate and deliver training on risk and compliance to all colleagues.
- Responsible for developing and overseeing the effective roll out of the risk tool and ensuring client Risk Assessment procedures meet regulatory requirements.
- To lead and support SRA Renewal/Certification process including reconciliation procedures.
- Reviewing and answering AML verification related queries.
- Maintenance and creation of Compliance Monitoring Programs to ensure compliance oversight has a clear and concise objective.
- As part of the Risk Committee help and contribute towards the FWRA and completion of and maintenance of Risk Register.
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