Compliance Assistant

My client, an established law firm have a newly created role for a Compliance Assistant to join their compliance team. You will be working as part of the wider Compliance team and reporting directly to the firm’s Risk & Compliance Manager on a day-to-day basis.

Key responsibilities: -

• Performing compliance file audits and monitoring department file audits, liaising with the Risk & Compliance Manager regarding any corrective actions and associated reporting.
• Maintaining the firm’s compliance registers.
• Assisting the Risk & Compliance Manager with maintaining the firm’s SRA records and industry accreditations .
• 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 practising certificate renewals.
• Assisting with and maintaining referrals records and performing compliance audits.
• 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.
• 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.

Applicants must be able to demonstrate that they are capable of working on their own initiative whilst being a strong team player. Experience of working in the legal industry is preferred and a keen interest in legal risk and compliance would be desirable. An ability to consistently maintain high standards will be essential as will excellent IT skills. Additionally, you must possess at least 5 GCSE’s Grade A* to C including Maths and English. Data entry skills will be essential as well as good attention to detail and the ability to work under pressure.

Whilst we would love to be able to respond to every application we receive, it isn’t always possible. If you have not heard from us within 7 working days, please assume that your application has not been successful on this occasion.