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Senior Compliance Officer

2 months ago

Royal Leamington Spa UK, UK, United Kingdom Wright Hassall LLP Full time

Wright Hassall are currently seeking to appoint an experienced and highly motivated individual to join the Firm as Senior Compliance Officer.


Reporting to the Risk & Compliance Manager, this role is responsible for supporting with the execution and continuous improvement of the Compliance Function to ensure effective risk management, as well as compliance with regulatory requirements and internal policies, processes, and procedures, across the business



Job Responsibilities:



  • Supporting the team and wider business with client due diligence (CDD) / know your client (KYC) to ensure compliance with Money Laundering Regulations and internal control documents
  • Supporting the team and wider business with file management to ensure files are opened, maintained, supervised, and closed in line with legal practice standards and internal control documents, which will include advising on and where applicable dealing with file-related issues (e.g. file management processes, compliance requirements, and high-risk file matters and individuals).
  • Assisting the Risk and Compliance Manager with risk management within the business to ensure risks are effectively identified, managed, and monitored as far as possible
  • Being responsible for the overall audit process within the business to ensure compliance with regulatory requirements and internal control documents, and to provide assurance of such to Approved Persons as required
  • Contributing to continuous improvement of the systems and controls in place for effective compliance to ensure they are up-to-date and relevant, and that the business complies with such
  • Handling internal incidents, and where necessary complaints, in accordance with regulatory requirements and internal control documents, to ensure timely resolution and to reduce reputational risk to the business
  • Responding to requests for information to ensure transparency and accountability, and to provide assurance of the business’s management of risk and compliance with relevant regulatory requirements
  • Responding to complex/high risk internal compliance queries and escalating matters where required to the Risk and Compliance Manager, Practice Director and/or relevant Regulatory Role Holder, as appropriate to ensure issues are addressed and compliance is effectively undertaken by the business.
  • Supporting with compliance training to ensure material is up-to-date and relevant and the business has an awareness and understanding of relevant legislation, regulation, best practice standards and internal controls to be able to effectively comply
  • Leading projects within the business to ensure compliance with regulatory requirements, as needed.
  • Sharing knowledge, cross training and providing support to other team members.
  • Taking the lead on more complex matters, where appropriate.




Person Specification:




  • 5 or more years proven experience of working in a risk or compliance role within a regulatory environment at officer level or higher
  • Strong organisational skills
  • Excellent Communication skills
  • Proven experience in the areas of anti-money laundering and data protection, including responding to subject access requests, dealing with complex matters, and making reports to the regulator
  • Applying, and assessing the impact on the business of, legislation, regulation and/or best practice standards
  • Assessing, monitoring and managing risks, including maintaining a risk register
  • Conducting audits and implementing continuous improvement, including development and review of internal systems and controls
  • Designing and delivering training and presentations
  • Drafting reports and communications to senior or external stakeholders
  • Undertaking due diligence in complex and/or high-risk matters
  • Investigating complex or high-profile matters


Benefits:



We offer a competitive salary and excellent benefits package, including 25 days annual leave (rising to 30 days), hybrid working, pension, bonus scheme, training and development, private medical insurance, life assurance, healthcare scheme, subsidised gym membership, on-site restaurant, and an active social committee.




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