Address
Form of work
SalaryMy client advises UK and international businesses and individuals, and pride ourselves on providing long term support to their clients.
Purpose
The successful candidate will be responsible for providing front-line support in relation to processing all daily incoming compliance queries logged through the helpdesk and ensure the firm, and individuals within the firm, practise and promote the highest standards of legal and regulatory compliance, promoting the reputation of the firm and advancing thinking on risk management.
Key responsibilities and duties include
· Act as first point of contact for internal risk and compliance queries.
· Provide legal compliance guidance to employees of the Firm.
· Process all daily incoming risk and compliance queries.
· Reviewing, processing and responding to queries and issues in relation to:
- Money Laundering Regulation, UK GDPR, SRA standards and regulations,
- SRA / Data / Compliance breaches,
- conflicts of interest,
- client due diligence, sanctions checks and onboarding,
- client complaints and feedback,
- suspicious activity reporting; and
- all other compliance issues arising across the Firm;
· Reporting findings of all reviews and compliance queries to the Risk & Compliance Manager
· recording and monitoring all daily incoming compliance queries and assisting with compiling monthly reports to the Compliance Board, on issues, trends, behaviours and developments.
· identifying and escalating any issues that cannot be immediately resolved to the Risk & Compliance Manager.
· performing additional ad-hoc compliance associated tasks and activities as delegated by the Risk & Compliance Manager.
· Maintaining the firm’s compliance registers;
· Assisting with and maintaining referrals records;
· Assisting with compliance file audits;
· Maintaining the firm’s on-line training platform;
· Assisting with new starter compliance engagement;
· Assisting the Risk & Compliance Manager with practising certificate renewals;
· Other associated compliance administration.
· supporting the Compliance Administration Assistant as and when required.
· working with the Compliance Team to ensure compliance with the firm’s plans, policies and procedures.
· supporting and promoting the culture of compliance within the firm.
Applicants must be able to demonstrate that they are capable of working on their own initiative whilst being a strong team player. An ability to consistently maintain high standards will be essential, as will excellent I.T. skills.
Applicants must be educated to degree level, ideally with or working towards an industry related qualification. Preference will be given to candidates who have at least 1 year’s compliance experience in the legal industry and a knowledge of Money Laundering Legislation and SRA regulations. Excellent verbal and written communication skills are required for this role and the successful candidate will be articulate, detail orientated and approachable.
