Risk and Compliance Executive - Law Firm

My client is recruiting for a Risk and Compliance Executive to join their law firm in Bishops Stortford, Hertfordshire.

Due to the growth of their firm, they have an excellent opportunity for a legal Risk and Compliance professional to join them to help enhance their processes, embed a compliance culture and reduce risk across all areas of the business.

This role will involve assisting the Risk and Compliance Team with file reviews, management of client complaints and notifications to insurers. It will include acting as a point of contact for general risk and compliance queries from staff and maintaining the firm’s central records. The successful candidate will also support the firm with data protection and AML compliance. A vital part of the role will be to assist with the firm’s Lexcel, Customer Service Excellence and Conveyancing Quality Standard accreditations.

The ideal candidate will have prior experience of some or all of the areas above, either as a qualified legal professional or having worked in a Risk and Compliance role within the legal sector. The ability to communicate clearly and effectively with clients, staff and other professionals and proficiency in the use of Microsoft Office is essential.

Main Tasks

» To ensure compliance with legal requirements and professional rules by the firm and its staff
» Complaints handling, to include liaising with clients and staff, investigating concerns and preparing written
and oral responses
» Conducting regulatory and thematic file reviews and managing the firm’s central record in this regard
» Assisting with data protection compliance including the management of data subject access requests and
review of data breaches
» Responding to day-to-day queries from staff on issues such as AML, sanctions, confidentiality, and conflicts of interest
» Reviewing and improving the firm’s policies, procedures and client facing information
» Updating the Risk and Compliance Team records, analysing data and producing reports where required
» Assisting with notification requirements under the firm’s professional indemnity insurance
» Assisting with Lexcel, Customer Service Excellence and Conveyancing Quality Standard compliance
» Attending the firm’s London office and external meetings as required

Requirements

» Experience in a Risk and Compliance role within the legal sector
» Good working knowledge of Solicitors Regulation Authority Handbook, AML, sanctions, data protection and other relevant legislation and professional rules
» Understanding of law firms and commercial practice
» Understanding of professional indemnity insurance

Should you have any questions or wish to apply please do not hesitate to contact Clear Legal and Financial Recruitment.

Please Note: Due to the number of applications we receive we may be unable to respond to every application directly. If you have not heard from us within 3 working days, please assume your application has been unsuccessful.