Risk and Ethics (Compliance) Assistant

Role Responsibilities:

• Responsible for the ongoing administration of the internal Client On boarding and Conflict Check procedures.
• Providing support in the processing of complaints for both the Solicitors Regulation Authority and Financial Conduct Authority entities, including updating records and ensuring timelines for responding are met.
• Assisting with the recording and review of breaches that may occur.
• Contributing to the drafting of policies in relation to the operation and regulation of the firm, including maintenance of the Compliance Manual as required.
• Assisting with matters relating to the Anti-Money Laundering Policy including review of source of funds data input.
• Assisting with the preparation and delivery of training.
• Dealing with day-to-day queries from the business including issues relating to Anti-Money Laundering and Client Due Diligence. This will include responding to queries received via the Compliance Inbox as required.
• Assisting with the management of the Solicitor Conveyancing Panel membership and Practising Certificate renewals as directed.
• Conducting file audits as directed.
• Compliance diary management.
• Undertake general administration tasks as required by the team.
• Supporting all members of the Risk Management and Ethics Team in the exercise of their day to day duties.

Skills and Experience:

• Graduate degree in any subject (desirable but not essential)
• Able to evidence ability to prioritise and manage a varied workload.
• Strong communication skills.
• Excellent attention to detail.
• Excellent time management, organisational and administrative skills.
• Team player but self-motivated and able to work autonomously.
• Able to demonstrate experience in liaising pro-actively with third parties.
• Previous experience in a legal/risk management role (desirable)
• Experienced user of Microsoft Office - Outlook, Word, Excel and PowerPoint.

Benefits

• Salary is competitive
• 25 days annual leave including the opportunity to buy and sell holiday
• Private Health Insurance
• Life Assurance at 4x Salary
• Income Protection Cover
• Optical Care vouchers and many more benefits and discounts

We are an equal opportunities employer and ensure that no applicant or employee receives less favourable treatment on the grounds of gender, age, disability, religion, belief, sexual orientation, marital status, or race.

Appointment is subject to the appropriate background checks and satisfactory references.

A note to recruitment agencies: we like to recruit ourselves initially so this role is only open to direct applicants. If we do need any extra help we will reach out to you and utilise our PSL in the first instance.