Due to continued growth we are looking to recruit a Compliance Officer to support the implementation and maintenance of the firm’s risk management policy ensuring the firm is compliant with the SRA, FCA, anti-money laundering regulations, data protection legislation and other regulatory requirements.
- Conducting internal audits to provide assurance to the Approved Persons that the firm is compliant with regulatory codes and legislative guidance set by the regulatory bodies.
- Ensuring that our Quality Assurance checks, and controls are effective and that any weaknesses are reported, identified and addressed.
- Review of policies and procedures and training to ensure they are up to date and compliant with regulatory requirements.
- Respond to queries raised by the FCA and completing applications for approved persons;
- Delivering and providing training firm wide.
- Contribute to projects to support regulatory changes, within the firm such as the General Data Protection regulations and providing guidance on compliance
- Assisting the Head of Risk and Compliance to maintain the firm’s risk register and devise and implement a firm wide risk based monitoring plan in line with the firm’s risk register
- Working with the Compliance Manager to conduct firm wide thematic audits to address areas of high risk and provide clear and concise management reports.
- Ensure incidents are properly investigated and that a proper record is maintained to be reported on to the Compliance, Operational and IT meeting.
- Respond to complaints that are received and deliver appropriate responses within set timescales and implement remedies to avoid repetition of complaint clause.
- Respond to requests for information under the Data Protection Act and requests to delete information.
- Carrying out checks on new business loads including conflict checks on new matters (up to 500) against the firm’s data base.
- Updating training material to ensure it is compliant with legislation and working with the compliance team to deliver training in a way which minimises time away from work.
- Performing due diligence on new and existing suppliers, and undertaking onsite and remote audits.
- Periodic reviews of all standard contact methods, including letter, email and SMS sent.
The successful candidate will have experience of working within compliance at a law firm and be used to working in a busy and fast paced environment.
Excellent benefits package; including 22 days annual leave (in addition to bank holidays) increasing to 25 with length of service, employer backed pension scheme, firm wide performance bonus scheme, training and development, healthcare scheme, free on-site car parking, on-site café, and an active social committee.
Wright Hassall values the differences and advantages that a diverse workforce brings to the firm, and is committed to ensuring that all applicants are valued as individuals and treated with respect and fairness.
To apply please complete the job enquiry form below.
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