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Form of work
SalaryThe ideal candidate will be responsible for providing support in relation to all compliance activities throughout the firm. Responsibilities include;
- Performing compliance file audits and monitoring department file audits, liaising with the Risk & Compliance Manager regarding any corrective actions and associated reporting and follow ups.
- Maintaining the firm’s compliance registers e.g. SRA, ICO and Compliance breaches, gifts and hospitality, complaints, claims.
- Assisting the Risk & Compliance Manager with maintaining the firm’s SRA records and industry accreditations eg CQS;
- Maintaining the firm’s compliance training registers;
- Organising firmwide in-person training and maintaining the firm’s on-line training platform;
- Assisting with new starter compliance engagement;
- Assisting the Risk & Compliance Manager with practicing certificate renewals;
- Assisting with and maintaining referrals records and performing compliance audits on referral files;
- Compiling data and producing reports and commentary on various compliance data for the Risk & Compliance Manager and Compliance Board.
- Monitoring and providing updates to the firmwide department manuals.
- Monitoring and following up on the firm’s Undertakings register.
- Preparing materials in advance of compliance training, meetings and clinics.
- Performing additional ad-hoc compliance associated tasks and activities as delegated by the Risk & Compliance Manager.
- Assisting the MLRO with review of and commentary on source of funds and wealth evidence enquiries.
- Performing tasks e.g. booking meeting rooms, booking training courses.
- review, process and respond to queries in relation to compliance, breaches, complaints, feedback, claims, money laundering, and other compliance issues arising across the Firm;
- assist the Risk & Compliance Manager with compiling monthly reports on problem areas / departments.
- Be able to work independently
- Consistently have high standards
- Excellent IT Skills
- Working towards an industry related qualification
- Ideally have 1 years compliance experience in the legal industry
- A knowledge of Money Laundering Legislation and SRA regulations.
- Free onsite parking
- Bonus scheme
- Pension Contribution
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