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Regulatory Conduct Officer

2 months ago

UK, UK, United Kingdom Lennoxvale Specialist Recruitment Full time

Your New Company


We’re delighted to be partnering with a leading legal Regulatory body in their search for a Regulatory Conduct Officer to join their team in Belfast, on a full time permanent basis.

Salary scale for the post is £34,682 to £42,025, dependent on experience.

The other principal ancillary benefits are:

  • Individual Private medical insurance with immediate opportunity to benefit. Employee portal and mobile apps for support and claim assistance.
  • In addition to the normal public and bank holidays, a leave entitlement of 25 days per annum.
  • A contributory pension scheme, to which the employer contributes at a rate of 10% of the salary.
  • Death in Service at 4 times gross salary.
  • Income protection in the event of long-term illness with added benefits of Employee Assistance Programme, Be Well Helpline, Later Life Care, Virtual GP, Mental Health Services, Online Physiotherapy Service, Second Medical Opinion, Medical Concierge, Nurse Support Services, Long-term chronic condition support, Vocational rehabilitation support, and financial protection.
  • Salary sacrifice schemes, including Tech Scheme and Cycle to Work Scheme.
  • Affinity schemes with local organisations, i.e., Victoria Square, Q Parking, Agnew Corporate, and Kingsbridge Private Hospital.
  • Annual Health and Wellbeing Events
  • CVs must be submitted along with a covering letter of how you meet the essential and desirable criteria by 5pm, Friday 6th September 2024. Late or incomplete applications will not be accepted.

Our client is an Equal Opportunities employer.

Your New Role


As the Regulatory Conduct Officer you will be responsible for processing correspondence, assisting in the initial assessment of complaints regarding the conduct of a solicitor, registering complaints for investigation, handling telephone enquiries from complainants and solicitors as required.

You will also have administrative responsibility for ensuring that complaint correspondence is retained on the organisation's CRM casework system and for providing support by dealing with enquiries received from solicitors and other parties.


The main duties of the post include:


  • To investigate and respond to complaints in accordance with the Solicitors (NI) Order 1976 as amended, under the direction of the Head of Professional Conduct.
  • To have initial contact with members of the public, dealing with first stage calls, to have continued contact with members of the public and solicitors as required.
  • To consider suitable resolutions to complaints under the direction of the Head of Professional Conduct.
  • To provide initial assessments of complaints.
  • To provide Head of Professional Conduct with applicable complaint statistics and data.
  • To assist in the provision of ad hoc reports as requested concerning complaints and other feedback.
  • To communicate effectively with members of the public, the solicitor’s profession and third parties both by telephone and in writing.
  • To assist the Head of Professional Conduct in the updating of internal procedures and protocols, to maintain the effective investigation of complaints.
  • To respond to enquiries received from solicitors and members of the public regarding individual solicitors and firms in accordance with the Solicitors (NI) Order 1976 as amended.
  • Investigate and manage a variety of complex cases with a thorough knowledge of the relevant legislation, policies and procedures including gathering, analysing, and evaluating evidence and making decisions relating to the direction of the investigation.
  • Ensure that investigatory processes are carried out in accordance with established organisational procedure, legislative requirements and that methods of investigation comply with best practice.
  • To report and present on the findings of an investigation and regulatory items to the Professional Conduct Committee.
  • Assume responsibility for personal case load, planning and prioritising as required to ensure timescales and deadlines are met.
  • Analyse complex, sensitive and/or contentious information, exercise professional judgement and decision-making in relation to cases.
  • Produce analytical and evidence-based reports, with proposed recommendations.
  • Draft formal documentation for use within the conduct and complaints process.
  • Instruct, support and guide agent solicitors in the preparation of cases referred to the Solicitor Disciplinary Tribunal. This includes attending any review meetings and hearings as a representative of the Law Society.
  • Participate in regular casework meetings, reporting to management with recommendations and providing up to date accurate information about cases.
  • Maintain full and accurate records securely in respect of all investigations, whether kept manually or electronically, in line with information governance policies and to ensure accurate statistics can be produced.
  • Maintain confidentiality.
  • Compile and analyse statistics relating to the work of the conduct department.
  • Undertake other duties that may reasonably be requested which are appropriate to the level of the post.
  • Respond proactively to colleagues, participate in team working, work to corporate policies and procedures and contribute to the business of the Law Society.
  • Participate in internal and external project groups as required.
  • Continually review processes and procedures and develop frameworks and tools for their improvement.
  • Undertake relevant training and where required deliver training to others.
  • Work within a performance management framework, including participation in supervision and appraisal processes.
  • Undertaking any other reasonable duties deemed necessary for successful delivery of the organisation's objectives.
  • This is an exceptional opportunity for a candidate, looking for a unique opportunity to transfer their experience.


The post holder will support the Professional Conduct Manager and the Head of Professional Conduct dealing with matters of regulation and professional conduct.

This role would be particularly suitable for someone with operational experience of working in a law practice.

What You Need To Succeed


To make an application to the Regulatory Conduct Officer role, you will fulfil the criteria below;

Essential Experience:


  • Possess a degree in law and at least two years relevant experience to include experience of formal investigation. OR
  • At least five years relevant experience to include experience of formal investigation.
  • Knowledge and Skills:
  • Excellent organisational and time management skills.
  • Knowledge of Microsoft Office Suite (Word, PowerPoint, Excel) and other commonly used office packages.
  • Strong IT and typing skills.
  • The ability to prioritise tasks and work under pressure.
  • Good team working skills and the confidence to motivate a team.
  • The ability to manage your own workload and supervise the work of others as required.
  • Excellent interpersonal, oral, and written communication skills.
  • Strong attention to detail.
  • Excellent analytical skills with an ability to review a large volume of materials to clearly identify relevant facts.
  • The ability to apply sound judgement to ensure that decisions are taken in accordance with Departmental procedures and policies.
  • Flexibility and adaptability to changing workloads.
  • A problem-solving approach to work.


Desirable:


  • Experience of working in a regulatory context.
  • A relevant qualification in investigation/complaints handling.
  • What You'll Receive In Return

As the Regulatory Conduct Officer you will receive a salary between the Salary scale for the post of £34,682 to £42,025, dependent on experience.


The other principal ancillary benefits are:


  • Individual Private medical insurance with immediate opportunity to benefit. Employee portal and mobile apps for support and claim assistance.
  • In addition to the normal public and bank holidays, a leave entitlement of 25 days per annum.
  • A contributory pension scheme, to which the employer contributes at a rate of 10% of the salary.
  • Death in Service at 4 times gross salary.
  • Income protection in the event of long-term illness with added benefits of Employee Assistance Programme, Be Well Helpline, Later Life Care, Virtual GP, Mental Health Services, Online Physiotherapy Service, Second Medical Opinion, Medical Concierge, Nurse Support Services, Long-term chronic condition support, Vocational rehabilitation support, and financial protection.
  • Salary sacrifice schemes, including Tech Scheme and Cycle to Work Scheme.
  • Affinity schemes with local organisations, i.e., Victoria Square, Q Parking, Agnew Corporate, and Kingsbridge Private Hospital.
  • Annual Health and Wellbeing Events
  • Our client is an Equal Opportunities employer.

Applying For Your New Role


Does this position sound of interest? Please submit your CV confidentially and we will be in touch shortly to discuss the opportunity in further detail. Or, if you prefer to chat about the role confidentially before submitting a CV, please get in touch via the contact details provided.