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Ince Gordon Dadds Emergency Response +442072836999

Risk & Ethics Assistant (Cardiff)

Reporting to: Director of Risk Management and Ethics 

Based: St Fagans, Cardiff 

Salary: TBC 

Contract: Permanent

Here at Ince we have an excellent opportunity for an ambitious and talented Risk & Ethics ( Compliance ) Assistant to join our friendly and hard-working team during an interesting period of growth to provide regulatory support to the wider Group and its subsidiaries. Ince is a dynamic and fast growing Law Firm that believes in promoting within wherever possible and will offer progression to the right candidate.

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 with a minimum 2:1 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.

To apply for this role please send your CV only to stating your name and job title you’re applying for in the subject heading.