Risk & Compliance Executive

5 days ago


Bishop's Stortford UK, Hertfordshire, United Kingdom LR Legal Recruitment Full time

Position - Risk and Compliance Executive

Location - Bishop’s Stortford

Salary - £35k - £45k


Overall Purpose

To assist the Partners, Risk and Compliance Team and the wider firm to adhere to regulatory requirements, legislation and best practice.


Main Tasks

  • To ensure compliance with legal requirements and professional rules by the firm and its staff, working in conjunction with the firm’s
  • Managing Partner (COLP)
  • Head of Risk and Compliance
  • Risk and Compliance Manager
  • Money Laundering Reporting Officer (MLRO)
  • Data Protection Officer (DPO)
  • Head of HR, Finance and IT


  • Complaints handling, to include liaising with clients and staff, investigating concerns and preparing written and oral responses
  • Conducting regulatory and thematic file reviews and managing the firm’s central record in this regard
  • Assisting with data protection compliance including the management of data subject access requests and review of data breaches
  • Responding to day-to-day queries from staff on issues such as AML, sanctions, confidentiality, and conflicts of interest
  • Reviewing and improving the firm’s policies, procedures and client facing information
  • Updating the Risk and Compliance Team records, analysing data and producing reports where required
  • Assisting with notification requirements under the firm’s professional indemnity insurance


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