Risk and Compliance Officer

Well established Legal firm seeks a suitable Risk & Compliance Officer with 2 to 5 years of Risk experience in a law firm.

The role will suit someone who is proactive, with a can do attitude, an all rounder who can hit the ground running.

ROLE:

Client onboarding.

AML/SAR - analysing documentation and reporting back to the MLRO.

Assisting with any and all source of funds and source of wealth investigations, reviewing and documenting findings/questions.

Credas/EIDV - admin for the ID portals, ensuring that everyone has the relevant access, guidance and support when using the portals.

Any and all ongoing monitoring alerts regarding PEPS and Sanctions.

Complaints - confidently handling complaints, investigating and dealing with the firms response to the complainant.

Skilled with GDPR considerations.

Accreditation & Audits - dealing with regulatory audit experience is necessary. Ensuring all documents are compiled and ready for audit by the relevant auditor.

Policy updates.

Manage the Risk email inbox - responding to and assisting with responses to the risk emails.

Researching new or planned changes suggested by SRA/Law Society/authorising bodies.

Ensuring updated Sanctions lists are forwarded as and when received.

Undertakings - logging new undertakings onto the system and ensuring that these are monitored and updated at regular intervals.

Price transparency - checking all is up to date with the HOD and amending where needed.

CQS - annually assisting HOD of residential with CQS accreditation, booking and monitoring of all training to ensure that we are compliant with CQS.

General risk admin duties.

REQUIREMENTS:

• Ability to comfortably speak to people of varying degrees of seniority.
• 2-5 years experience in a law firm or professional services.

MORE INFO:

• Fully office based
• Monday - Friday 9am - 5pm
• Salary negotiable on experience