We are seeking an experienced Risk and Compliance professional to join the firm’s Risk and Compliance department on a 12 month fixed term contract covering maternity leave.
The candidate will work closely with the firm’s Head of Risk and Compliance, COFA, COLP andCOO. The Risk andCompliance Manager will manage the firm’s New Business Intake procedures together with the firm’s wider risk policies and procedures.
The candidate will have solid knowledge of AML regulations and the SRA Handbook and possess analytical and reasoning skills along with sound judgement. The candidate will have prior experience of working in a supervisory/managerial role, as the role holder, will manage the firm’s Risk Analysts.
Key Responsibilities
: Manage compliance across the firm and ensure the firm’s New Business Intake (NBI) runs effectively; Provide technical assistance to the Analysts relating to AML and conflict of interest enquiries; Provide strategic input into the management and development of the compliance function and the firm’s compliance processes; Keep up to date on all SRA and AML developments; Manage the client onboarding process to include AML reviews and CDD; Perform risk assessments, identify and advise in resolving internal issues as they arise; Develop and update policies and procedures to meet SRA regulation and AML and ABC legislation; Develop and manage AML, anti-bribery, data-protection and other compliance training; Provide detailed compliance and risk reports Conduct annual files reviews Carry out an annual audit of the firm’s compliance function (to include an annual benchmarking exercise against industry practice) Assist the Head of Risk and Compliance in the day to day running of the firm’s risk management Maintaining the undertakings register Carrying out training and assisting with policy drafting. Progressing complaints handling (under supervision of the HORC) Assisting with the management and administration of PI claims Required skills and qualifications Law graduate or equivalent Supervising and/or managing teams Experience in reporting and using databases Excellent written and verbal communication skills Strong analytical skills and attention to detail Able to prioritise workloads and meet deadlines Proven ability to foster relationships at all levels Confident and able to establish credibility with Partners Experience Experience in a similar role within the legal sector is essential. Hybrid working The role requires 3 days in the office and 2 days at home.
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: Manage compliance across the firm and ensure the firm’s New Business Intake (NBI) runs effectively; Provide technical assistance to the Analysts relating to AML and conflict of interest enquiries; Provide strategic input into the management and development of the compliance function and the firm’s compliance processes; Keep up to date on all SRA and AML developments; Manage the client onboarding process to include AML reviews and CDD; Perform risk assessments, identify and advise in resolving internal issues as they arise; Develop and update policies and procedures to meet SRA regulation and AML and ABC legislation; Develop and manage AML, anti-bribery, data-protection and other compliance training; Provide detailed compliance and risk reports Conduct annual files reviews Carry out an annual audit of the firm’s compliance function (to include an annual benchmarking exercise against industry practice) Assist the Head of Risk and Compliance in the day to day running of the firm’s risk management Maintaining the undertakings register Carrying out training and assisting with policy drafting. Progressing complaints handling (under supervision of the HORC) Assisting with the management and administration of PI claims Required skills and qualifications Law graduate or equivalent Supervising and/or managing teams Experience in reporting and using databases Excellent written and verbal communication skills Strong analytical skills and attention to detail Able to prioritise workloads and meet deadlines Proven ability to foster relationships at all levels Confident and able to establish credibility with Partners Experience Experience in a similar role within the legal sector is essential. Hybrid working The role requires 3 days in the office and 2 days at home.
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