Compliance Assistant

Our professional client based in Reading are seeking a Compliance Assistant to join their busy and close-knit team. As the company's Compliance Assistant, you will play a pivotal role in supporting their commitment to ethical practices and legal compliance ensuring that they continue to uphold the highest standards of professionalism.

Our professional client based in Reading are seeking a Compliance Assistant to join their busy and close-knit team. As the company's Compliance Assistant, you will play a pivotal role in supporting their commitment to ethical practices and legal compliance ensuring that they continue to uphold the highest standards of professionalism. This role requires a keen understanding of law dynamics and the ability to navigate compliance challenges in the context of legal matters.

Company Benefits:

• Private healthcare
• Bonus scheme
• Competitive pension scheme

Key Responsibilities:

• Assist in identifying, assessing, and mitigating potential risks associated with law cases and firm operations.
• Contribute to the development and implementation of risk management and compliance policies.
• Assist in reviewing the client intake process by conducting due diligence on potential law and private client clients, ensuring compliance with anti-money laundering (AML) and Know Your Customer (KYC) requirements.
• Stay abreast of changes in law regulations and standards to ensure ongoing compliance.
• Organise and assist in conducting training sessions for staff to enhance awareness of risk and compliance issues.
• Maintain accurate and up-to-date records related to risk assessments, compliance activities, and client due diligence.
• Ensure strict confidentiality and compliance with privacy regulations concerning sensitive information.
• Provide support during internal and external audits related to cases and compliance activities.
• Prepare files upon receipt of complaints, ensuring all necessary documentation is organized and accessible.
• Draft and prepare a comprehensive chronology of events for each case associated with a complaint.
• Assist in the preparation of acknowledgment letters to complainants.
• Support the preparation of Final Response letters to address and resolve complaints effectively.
• Maintain the Complaints Register, ensuring accurate and up-to-date records are kept.
• Provide administrative support for the complaints process, policy, and periodic reviews.
• Offer administrative support for the Office Manual Index, ensuring it is well-maintained and accessible.
• Assist in the review and updating of policies outlined in the office manual.
• Assist in maintaining and updating templates within the ALB system.
• Provide administrative support for the Compliance Register, including maintaining and reviewing it regularly.
• Assist in maintaining and updating the Compliance Audit by Fee Earner (CAF ) Report.
• Assist in maintaining and updating the Record of Write-off and Credits by Compliance (RWOCC) Report.
• Provide administrative assistance for the preparation of weekly, monthly, billing, and COLP (Compliance Officer for Legal Practice) reports.
• Assist in logging File and Peer Reviews, ensuring accurate documentation of feedback.
• Support in arranging and scheduling File and Peer Reviews.
• Provide administrative assistance in logging action points and following up on them.
• Assist in reviewing High and Medium Risk reviews, ensuring compliance with established procedures.
• Provide administrative assistance in logging and following up on action points.
• Assist in preparing forms for continuing competence each year.
• Provide administrative assistance in calling in and collecting completed forms.
• Provide administrative assistance in preparing for mandatory training sessions.
• Assist in rolling out and collating records for mandatory training compliance.
• Offer administrative assistance and support for ad hoc Compliance tasks and projects.
• Provide administrative assistance and support for ad hoc Health & Safety tasks and projects.
• Support ad hoc Operational tasks and projects with administrative assistance.

Experience and Skills Requirements:

• Bachelor's degree in law, business, or a related field preferred but not a necessity.
• Previous experience in a law firm, legal department, or compliance role preferred.
• Understanding of legal and regulatory requirements.
• Strong analytical skills and attention to detail.
• Excellent communication and interpersonal skills.
• Ability to work independently and collaboratively in a fast-paced law environment.
• Proficiency in Microsoft Office Suite and other relevant software.

If you have not been contacted within 5 working days, then unfortunately on this occasion your CV has not been shortlisted.