Finance Compliance Executive

The primary role of the Finance Compliance Executive is to assist the firm in complying with its regulatory obligation in relation to residual balances by assessing all retentions the firm holds. Whilst you will report to the Compliance Cashier Manager and

form part of the wider Finance Team you will work closely with the COFA as appropriate who has ultimate responsibility for the firm’s client balances. This position can be offered as a hybrid posiiton once orientation and training has been completed. We work Monday to Friday, 9am - 5pm, we offer 26 days holiday plus Bank Holidays, Pension, Training and Development Plans and Company Events. We can offer

a vibrant and modern working environment, with free parking and breakout areas. This role involves but is not limited to: Reviewing files identified by the COFA / Compliance Cashier Manager as requiring investigation to establish. i. What the residual balance or retention relates to ii. To whom it should be returned, or action required. iii. Recording the reasoning in the Client Retentions master file. iv. Referring to the Fee Earner with findings, advising course of action Referring files that cannot be resolved to the COFA / Compliance Cashier Manager together with analysis of findings of initial review. Carrying out follow up actions as identified. Classification of retentions as required. Liaison with Fee Earners as appropriate Providing regular updates of progress by way of the Client Retentions master file. Management of the charity ledger and requisite payments to be made. Matter housekeeping with regards to leaver files Suspense ledger analysis and resolution Administration of the residual balance’s mailbox Providing ad hoc administrative assistance to the team when required Requirements: Previous experience working in a law firm or within the regulatory area. Interest in law firm finance, risk, and compliance Strong analytical skills Strong communication skills Ability to work under pressure. Excellent organisational skills Excellent overall IT skills. Desirable A good understanding of the SRA Codes of conduct for Solicitors and firms A good understanding of the Solicitors Accounts Rules Experience in working on client matters and/or reviewing client matter files. Previous experience working with Elite 3E, Mattersphere, Nebulaw and DPS Company Core Values: Aspire:

To challenge convention, an entrepreneur with energy for change. To be the best we can be. Innovate:

To creatively evolve our working practices, use our revenue and resources in a virtuous cycle of improving our people, systems and growth. Integrate:

Bring together people and systems into a cohesive force. Commit:

To work with integrity and invest in long term relationships, creating a strong market position and delivering sustained commercial advantage