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Compliance Officer, ABS

Posted 25 January by Travelers Insurance Co. Ltd. Ended

Job Summary: Has overall responsibility for putting into place and maintaining adequate systems for sound financial management of the Alternative Business Structure. Overall responsibility for monitoring compliance and for reporting compliance failures of the Alternative Business Structure to the Solicitors Regulation Authority (SRA). This job does not manage others This job works under General Supervision: Incumbent independently performs a variety of duties, including potentially complex duties within established policy guidelines; responsible for a defined set of assignments (e.g. assigned customers, claims or other specified set of responsibilities); is expected to set priorities and meet specific goals and objectives of the function or unit. (Typically pertains to advanced/operational, senior professional, unit supervisor)

Primary Job Duties & Responsibilities: Ensures that the Alternative Business Structure, its managers and employees, comply with the terms and conditions of authorisation, excluding the obligations relating to adherence to the SRA Account Rules.

Ensures that the Alternative Business Structure complies with its relevant statutory obligations. Monitors compliance with the terms and conditions of authorization and all other relevant statutory obligations.

Reports any failure to comply with the terms and conditions of authorization or any other relevant statutory obligation to the relevant body, making such records available to the Solicitors Regulatory Authority.

Responsible for reporting any material or non-material compliance failure to the Solicitors Regulatory Authority as soon as reasonably practical.

Litigates cases to verdict, demonstrating superior use of trial skills and techniques.

Ability to independently handle a moderate case-load with moderate level of severity and complexity from case inception through to trial/resolution.

Works under the guidance of the Head of Legal Practice in litigating complex and high exposure files. Conducts legal research as necessitated and supervises research projects delegated to Paralegals and Legal Secretaries.

Independently drafts statements of case, interim motions, briefs, disclosure requests and other court documents. Attends court events and other appointments independently.

Learns and understands client expectations in addition to the key department business goals of (insert ABS name here) and assists in meeting those goals.

Handles and actively seeks opportunities to become involved in special projects and on committees.

Provides recommendations and case analysis to business partners on appropriate file handling strategy. Integrates legal support staff into the case handling process.

Builds and maintains superior internal and external client relationships.

Completes all required administrative tasks including time reporting, closed cases, reports and other materials appropriate to performance of duties.

Effectively makes use of technology and automation in the practice of law.

Adheres to all standards of excellence in file management. Strictly adheres to the principles, outcomes and indicative behaviours of the SRA Code of Conduct.

Required for all Jobs Perform other duties as assigned

Minimum Qualifications: University degree. Fully qualified solicitor or a barrister in England and Wales. Some Post Qualification Experience (PQE). Must be authorized by the Solicitors Regulation Authority. Employment will be subject to authorization by the Solicitors Regulation Authority if not already authorized.

Job Specific & Technical Skills & Competencies: Advanced interpersonal skills. Persuasive legal writing skills and oral advocacy skills. Ability to clearly and succinctly articulate position. Advanced presentation skills. Ability to analyse legal issues independently and with minimal supervision. Ability to work collaboratively with team members and others. Demonstrates desire to acquire effective trial skills with increased litigation complexity. Demonstrates superior legal acumen. Demonstrates personal commitment to professional development. Continued development of technical skills with the goal of handling the higher complexity/exposure cases. Personal integrity and adherence to a high degree of professionalism and ethical competency. Intermediate research skills. Intermediate negotiation skills. Ability to prioritise and organise workload. Decision making and problem solving abilities. Sense of urgency/responsiveness.

Environment/Work Schedule: Each individual has responsibility for: Delivering high quality service to brokers and customers in line with our service standards. Complying with all legal, insurance, regulatory, Lloyd's and Sarbannes Oxley rules and guidelines. Acting at all time in compliance with the Treating Customers Fairly outcomes. Working as a team with colleagues within the Company and the Enterprise. Developing strong relationships with our key supporting brokers and customers and all other key external stakeholders. Adhering to the Company's policies and procedures. Keeping adequate records of all transactions undertaken with brokers, customer and all other parties. Continually looking for improvement both from a personal and business perspective.

Physical Requirements: Operates standard office equipment - Continuously Sitting (Can stand at will) - Continuously Use of Keyboards, Sporadic 10-Key- Continuously Other (specify): Use of Display Screen Equipment - Continuously

Equal Employment Oppurtinity Statement: Travelers is an equal oppurtinity employer.

Required skills

  • Compliance

Reference: 34038246

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