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Are you looking for the next step in your Compliance career?
I am working with a dynamic, growing Law firm who are looking for a Risk and Compliance Executive to join their team. They have a really supportive and open culture, where they heavily invest in development opportunities for their staff.
Experience in a Legal setting is highly desirable but will consider candidates from other industries.
Experience handling renewals, audits and compliance with the SRA, Lexcel, CSE and CQS is ideal but training can be provided on these.
Main duties include but not limited to -
- To ensure compliance with legal requirements and professional rules by the firm and its staff, working in conjunction with the firm’s
- Complaints handling, to include liaising with clients and staff, investigating concerns and preparing written and oral responses
- Conducting regulatory and thematic file reviews and managing the firm’s central record in this regard
- Assisting with data protection compliance including the management of data subject access requests and review of data breaches
- Responding to day-to-day queries from staff on issues such as AML, sanctions, confidentiality, and conflicts of interest
- Reviewing and improving the firm’s policies, procedures and client facing information
- Updating the Risk and Compliance Team records, analysing data and producing reports where required
- Assisting with notification requirements under the firm’s professional indemnity insurance
Benefits -
- 22 days holiday + Bank Holidays
- Contributory Pension Scheme
- Life Assurance
- Health Cover
- Discretionary Annual Bonus
- Subsidised Parking
- Hybrid 1 day a week at home, after probation
