Compliance Officer

Posted 15 November by Wright Hassall LLP
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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.

Job Responsibilities:

  • Work closely with the Compliance Director and as appropriate the COLP
  • Assist in developing and implementing Wright Hassall's (the Firm’s) compliance and risk management framework to ensure the firm is compliant with the SRA regulatory requirements;
  • Maintain and/or oversee the registers to be created as part of the Firm’s compliance and risk management framework (Registers);
  • Assist in "business as usual" compliance reporting and responding to ad-hoc issues; and develop an understanding of and assist in supporting AML and Data Protection compliance.
  • Assist in developing and maintaining the Registers;
  • Assist in reviewing the Firm’s policies and procedures and thereafter to maintain and diarise for/assist in annual reviews;
  • Assist in developing the Firm’s risk and compliance training requirements and thereafter maintaining the training requirements (including recording of training undertaken and assisting in ascertaining additional training requirements);
  • Maintain and/or oversee (the latter where the Register is maintained by another Department) the Registers;
  • Review File Review Forms, providing feedback/corrective actions to the applicable Departments and undertaking analysis of issues to determine further action (e.g. training, trend analysis and issues);
  • Assist in developing the template for and thereafter producing monthly compliance reports and assist in developing additional Management Information when required
  • Assist in maintaining the COLP issues log;
  • Assist with and conduct thematic internal audits and production of reports (in particular file reviews and reporting on issues/trends and additional training requirements);
  • Assist in responding to correspondence from the SRA, FCA and ICO (including completing applications);
  • Assist in projects to support regulatory changes (e.g. introduction of the new SRA Handbook);
  • Investigate and close out incidents notified to or identified by Compliance;
  • Undertake horizon scanning (including review of publications/newsletters) and reporting on forthcoming changes, areas of interest and thematic reviews being carried out by the SRA; and assist the Compliance Director generally in developing and maintaining the Firm’s risk and compliance framework.

Person Specification:

The successful candidate will have experience of working in a compliance team within a law firm and be used to working in a busy and fast paced environment.

Benefits Package:

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.

Reference: 39380450

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