We are looking for an experienced Compliance Officer for our client who is a regional and leading private practice law firm based in Southampton.
The jobholder will ideally have worked in a law firm or at least within professional services such as Accountancy or regulated industries. Compliance matters are currently managed by the Partners of the firm however the need for a specialist and dedicated Compliance Officer has now been identified. Therefore you will be required to set everything up and be in charge of ensuring all departments are compliant - so this is a great role for someone looking to get that level of responsibility and will undoubtedly be extremely chaalenging and fulfilling.
The brand new position ensures the Board of Directors, management and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behaviour in the organisation meets the company's Standards of Conduct.
You will be responsible for compliance with professional standards (such as voluntary best practice) and internal standards. As a compliance professional, you'll need to:
- perform risk assessments to understand the level, significance and scope of risk
- keep up to date with, and understand, relevant laws and regulations
- monitor compliance with laws, regulations and internal policies
- ensure that your findings are recorded and followed up with management so that issues can be rectified
- educate employees on not only the regulations but also the impact to the organisation if these are not complied with
- investigate irregularities and non-compliance issues
- report back to business functions on current risk and compliance performance
- highlight or escalate areas of concern
- contribute to robust and effective compliance controls within the organisation
- review marketing materials, presentations and websites to ensure compliance with regulatory requirements
- assist in the gathering of internal information in response to regulatory requests
- perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects).
- collaborate with other departments to create a culture of compliance.
This is a superb opportunity to join a highly successful and well regarded law firm and develop a key department within the business, the role will offer a competitive market rate salary and excellent benefits.
All applications will be reviewed in 2 working days and short-listed candidates contacted within that timeframe.
- Regulatory Standards
- Legal Compliance