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- Working closely with the partners to ensure that the firm and its employees comply with all relevant regulations including, but not limited to, legal, quality standards, data protection and cyber security.
- The firm has a comprehensive office manual and suite of reporting forms, records and registers. It will be your responsibility to maintain these documents, conduct regular reviews of all polices and draft and ensure all policies and procedures are updated as appropriate and rolled out to the wider team.
- Ensure billing procedures are correct
- Whilst you are not expected to be an expert in every aspect of legislation that affects our business, it is essential that you have a proactive approach to keeping informed and up to date regarding new legislation and changes that affect the business and ensuring the firm’s policies and procedures support the firm in maintaining its compliance.
- Assist colleagues in a timely manner with queries and concerns relating to the firm’s policies, procedures and compliance issues.
- You will conduct due diligence on all outsourcing arrangements, documenting all such arrangements and ensuring they meet the requirements of our regulators and other bodies.
- Working with the property team you will be responsible for managing the firm’s status on lender panels, managing users and updating details and maintaining the firm’s central register of lender panels.
- Managing administrative tasks on court and other portals used by the firm ensuring user lists are up to date.
- Co-ordinating destruction of data held by the firm in accordance with data protection principles
- Dealing with the annual applications for reaccreditation with Lexcel, CQS and WIQS. Managing all associated audits and reviewing and if applicable, actioning any recommendations within the specified timeframe.
- ensuring that the financial and administrative aspects of a legal practice comply with regulatory standards
- Previous experience as a Compliance Manager / COFA
- Knowledge and understanding of the SRA Standards and Regulations, Lexcel Standard, CQS Core Practice Management Standards and WIQS Core Practice Management Standards
- A flexible approach and the ability to manage a diverse workload, prioritise work and to work to strict timescales are essential
- Technical proficiency and good IT skills.
- Good communication skills as the candidate will be required to be a main point of contact with various advisors, including regulators, and other third parties.
- Support the successful development of the practice in line with its overall objectives and regulatory requirements;
- Proactive approach to keeping up to date with changes in legislation and any of the standards and regulations relevant to our firm;
