Risk and Compliance Solicitor

2 weeks ago

London, United Kingdom Lewis Row Ltd Full time

We are looking for a Solicitor with 3-5 years plus risk and compliance experience to join this niche law firm in London.

The Risk and Compliance Solicitor will work very closely with the firm’s Compliance Officer who is also the COLP/MLRO, across all of the firm’s risk and compliance matters.

The Risk and Compliance Solicitor will be given the opportunity and responsibility to step in and act as a caretaker COLP/MLRO when the existing COLP/MLRO is on any form of leave.

**_The role:_**
- Going through sale, purchase and remortgage files for all fee earners irrespective of seniority and reviewing file content for compliance with the Code of Conduct, the Conveyancing Quality Scheme’s Conveyancing Protocol, the Money Laundering Regulationsand the firm’s own internal policies.
- Issuing notes of any breaches/corrections to the fee earners and ensuring remedial works are undertaken within 28 days, failing which, recording and reporting any non-compliance as a breach.
- Assisting with the creation and maintenance of the firm’s policies and procedures in line with the firm’s compliance requirements.
- Dealing with AML/KYC/conflicts/Code of Conduct enquiries from Partners, Fee Earners and Support staff and providing said colleagues appropriate training where required.
- Assisting the management team with complaints handling if so required.
- Documenting breaches and reporting these to the Compliance Officer and if required to the management team.
- Be a solicitor with 3-5 or more years of experience of risk and compliance.
- Exposure to residential conveyancing with a good understanding of off plan property transactions.
- Ability to confidently free draft.
- Understanding and appreciation of the SRA’s Code of Conduct.
- Understanding of the Money Laundering Regulations 2017 (and subsequent Directives) and the requirements to ensure that the client’s source of funds is compliant with legislation and the firm’s own policies.
- Understanding of the Conveyancing Quality Scheme’s Conveyancing Protocol.
- Understanding of the prevailing Data Protection Legislation.
- A self-starter who understands the importance of proactive regular updates to management as to the state of files to include any improvements.
- The ability to command compliance from fee earners whilst being considerate to any deadlines they may be facing.
- A passion to make positive changes within the firm from a compliance perspective with a view to reduce the firm’s risk profile.
- The ability to work independently whilst having the confidence to ask for guidance as required.
- Initiative and the ability to implement/ suggest changes within the firm.

Within the team there are a further two compliance analysts to support the function.

This is a great opportunity for a solicitor to develop their risk and compliance career.

Salary is up to £70,000, but please contact Rowena Bubb of Lewis Row Recruitment for a discussion about salary or the role and firm if you have questions.

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